Rona

Rona provides compliance and AML support services to CCL's clients in the UAE. She has assisted a number of clients with their client onboarding requirements and in executing risk-based compliance monitoring programmes and where necessary, assisting with remediating gaps identified. Since starting her compliance career seven years ago, Rona has focused on anti-money laundering compliance, KYC procedures and sanctions compliance.

As part of CCL's compliance support team, Rona assists DFSA regulated firms of a variety of prudential categories with their day-to-day compliance and AML requirements as well as helping them to comply with their DIFC and DFSA reporting obligations. In addition, Rona assists the compliance consultancy team with drafting AML and compliance manuals.

Prior to joining CCL in 2017, Rona worked for Gulf Finance, a UAE Central Bank regulated firm dealing in corporate deposits, asset and SME financing and trade finance. After assisting the Compliance Officer/MLRO with client onboarding, compliance monitoring and risk assessments for several years, Rona took on the role of Compliance Officer. She was responsible for formulating the Firm's compliance policies and procedures and providing AML and compliance training to relevant staff. As part of her role as Deputy MLRO for the firm, Rona was responsible for investigating suspicious transactions and where relevant, filing STRs with the AMLSCU.

Rona graduated from Polytechnic University of the Philippines with a Bachelor of Science in computer science and is a Certified Anti-Money Laundering Specialist.

Recent work includes:

  • Conducting compliance monitoring programmes and high-level reviews for DFSA Authorised Firms.
  • Reviewing Customer Due Diligence procedures and files for several DFSA Authorised firms.
  • Assisting a DFSA Cat 3C Firm in complying with their DIFC and DFSA returns and providing ongoing company secretarial support.
  • Deputy Compliance Officer for a Retail FX/CFD firms, responsible for controller review of all high-risk accounts and preparation of analysis for MLRO sign-off.

 

Call: +971 4 323 0800