Rosie Phillips

Vice President @FinTrU

Belfast, GB

Financial Crime Compliance Project Manager - Retail Banking (February 2021 - Present)• Deliver timely, accurate MI across all workstreams• Produce weekly OpCo reports (risks, actions, performance metrics) for senior stakeholders• Set targets and track progress using burndown plans• Manage resource planning across workstreams• Support change management in launching new workstreams• Coordinate onboarding and system access testing• Oversee compliance training for 80+ employees• Handle ad-hoc tasks for the Remediation Programme TeamVolcker Compliance PMO - Tier 1 Investment Bank (November 2019 - January 2021)• Supported execution of Volcker 2.0 implementation• Managed governance: scheduling, materials, minutes for committees• Maintained implementation plans across compliance and retail streams• Delivered desk mandates, control plans, policy inventories, and governance updatesCompliance Surveillance Analyst - Global Investment Bank (June 2016 - November 2019)• Monitored electronic/voice comms to detect regulatory breaches• Conducted enhanced surveillance in Asset Management for Market Abuse• Supported real/post-trade monitoring for Exchange rule compliance• Daily surveillance of Equities, Fixed Income, and Wealth Management trading• Tools used: NASDAQ SMARTS Broker, TradingHub, NICE Fusion, CA Data Minder, IPC Archive, eTrali, NICE ActimizeKYC Analyst - Global Investment Bank (April 2016 – June 2016)• Conduct enhanced due diligence on high-risk clients, identifying ownership structures, UBOs and potential PEPs for KYC and risk mitigation

Queen's University Belfast

Bachelor of Science (BSc)