FAISAL JAMIL HASSAN, (CAMS, CFE, CFS, AML/CA)Qatar Doha Contact no: 00974-33175284 (mobile); 00974-44374315 (home)

Email address: faisaljamilhassan@yahoo.com

COMPLIANCE, AUDIT, ANTI MONEY LAUNDERING, FRAUD AND INTERNAL CONTROL

An experienced professional having work experience of more than 15 years possessing broad knowledge and managerial skills

in the banking industry is now looking forward to contribute his skill and share his experience in the field of Compliance

department of financial industry.

AREAS OF EXPERTISE

- Regulatory Compliance

- Anti Money Laundering -Retail Banking Operations

- Fraud and controls -Reporting to Central Bank

PROFESSIONAL QUALIFICATIONS ACHIEVEMENTS

Certified Anti Money Laundering Specialist (ACAMS- USA)

Certified Fraud Examiner (ACFE – USA)

Certified Fraud Specialist (ACFS-USA)

AML/CA (Florida University and Florida Institute of Banking- USA)

SUMMARY OF PROFESSIONAL EXPERIENCE AND SIGNIFICANT ACHEIVEMENTS

NAME OF INSTITUTION JOB ASSIGNMENTS

Doha Bank Qatar Assistant Manager Compliance Auditor

Bank Al Habib Ltd Zonal Compliance, internal Control and AML

Summit Bank (formally AHRBL) AVP Finance and Head Of Central Bank Returns

Standard Chartered Bank Operations Manager Retail Banking Branches

Mores Roland (CA Firm) External Audit Senior Supervisor

DETAIL OF PROFESSIONAL EXPERIENCE AND SIGNIFICANT ACHEIVEMENTS

DOHA BANK, QATAR 2008 TILL DATE

ASSISTANT MANAGER REGULATORY COMPLIANCE, AML, AND FRAUD / CONTROL:

Prepare and implement Risk-Based Regulatory Compliance Audit and Monitoring program.

Monitor instructions / circulars issued by Central Bank of Qatar, MD office and Head office to ensure that these are

communicated and implemented in accordance with their requirements. Maintenance of complete records of regulatory

circulars

Provide interactive training and presentation to staff (approx. 350 staff members in Retail banking Department in 32

branches) on weekly and annual basis for non-compliance of;

1. Central Bank / Head Office/ MD office instructions2. Anti-Money Laundering policy of bank

Work as coordinator for central bank auditors and external auditor and monitor due compliance of their reports. Reply for

queries of Central bank and other government agencies.

Draft / write Compliance Audit reports , Escalation of any regulatory breaches, Compliance observations, Effects for

Non-Compliance, Compliance Recommendations, Replies , Actions plans and Follow-up plans for Head of Compliance,

Board of Directors, Audit Committee, CEO, Head of Retail and Head of Operational Risk department

Work as team leader to perform Regulatory Compliance Audit for 32 branches, 15 pay-offices, 12 Electric officer and

different operational segments of bank to Ensure due compliance with regulations of central bank of Qatar and policy &

Procedures of bank.

Prepare follow-up plans to ensure Rectification and Corrections of Audit and compliance observations.

Engage in special assignments such Fraud investigation as directed by the higher management related to special

investigation, surprise audits and provide consultancy activity in case of need arises.

Perform audit for Corporate facilities, fund and non-fund based facilities; classification of loans and there provisioning

against it.

Provide assistance in preparing KYC policies and procedure.

Monitor and investigate suspicious activities. For this purpose we establish different monitoring reports as per thresh hold of QCB via bank software of BO (business objects) to Monitor branches and Head office activities. It includes daily, weekly, peps, monthly, structured, new account opened, transfer of funds and staff monitoring, LCY and FCY draft.

Provide guidelines for risk assessment and profiling of customers. Introduction of CDD, SOF (source of funds form), KYC

form in AOF

Expert in fraud investigation as Qualified Certified Fraud Examiner. On request of management perform investigation for

fraud cases.

Review of new product for assessment of money laundering risk and compliance with local laws

Draft and implement list KRI (Key Risk Indicators) and check list for internal controls.

ARIF HABIB BANK LTD 2006-2008

ASSISTANCE VICE PRESIDENT /HEAD OF RETURN’S DEPARTMENT:

Ensure Compliance with timely and accurately compilation of Central Bank returns pertaining to different departments of the

bank. More than 120 returns and reports submitted to central bank during the period of one year.

Perform controlling activities of more than 50 branches related to financial statements, budgets, accruals, fixed assets, sundry

and suspense a/c, and closing activities of operations during month ends.

Daily and weekly reporting to central bank for mandatory reserves against demand and time liabilities of bank.

Ensure submission of asset and liability statement on weekly basis and classification of deposits on monthly basis.

Work as a correspondent between bank and central bank in respect of financial reporting.

BANK AL HABIB LTD 2005-2006

ZONAL COMPLIANCE OFFICER:

Zonal Compliance officer of more than 25 branches to be reviewed semi annually.

Issuing reports to GM retail, GM audit and Head of Compliance regarding AML issues, focusing on those areas of business

risk and opportunity.

Review compliance with policies, procedures and local laws.

Reply for queries of Central bank, NAB, FIA and other government agencies.

On request of management perform investigation for fraud cases.

Prepare and implement compliance monitoring program and to ensure due compliance with all applicable laws and

regulations and guidelines issued by the Federal Authorities and Central Bank.

STANDARD CHARTERED BANK (Formally Union Bank) 2002-2005

OPERATIONS CONTROL OFFICER / BACK OFFICE OPERATIONS OF BRANCH BANKING:

Working as Operations Manager in more than 4 different branches of bank.

Controlling the entire retail banking operations.

Worked as an OCO (Branch Operations Control Officer).

I also worked as Customer Service Manager, Customer Service Officer / Universal Teller, and as BOO (Back Office officer)

perform all the branch back office activities such clearing, remittance transfer and branch accounting.

CHARTERED ACCOUNTANT FIRM MORES ROLAND 1998-2002

EXTERNAL AUDIT SUPERVISOR:

Perform audit of more than 30 companies during the period of four years.

Perform external audit of ALLIED BANK OF PAKISTAN. Prudential audit of Allied Bank of Pakistan regarding advances and

loans portfolio.

Prepare risk based audit program and checklist to review the internal control and report writing for the management.

DEGREE EDUCATION:

Bachelor of commerce First division 1996 Karachi university

Intermediate First division 1994 Premier college

Metric First division 1992 Karachi metric board

COMPUTER SKILLS: Middas kattapteee, Netterm, H-plus, MS OFFICE

PERSONAL DETAILS:

Date of birth: 31 Dec 1979 Nationality: PakistanCurrent residence: Qatar

REFERENCES:

Mohammad FaisalManager Group FinanceDoha Bank QatarEmail: mFaisal@dohabank.com.qaContact no: 00974-33517838

Muhammad UmairAssistant Manager Financial RiskDoha Bank QatarEmail: mUmair@dohabank.com.qaContact no: 00974- 33141814