Alexia Niang
London
Summary
I am a well organised, focused law graduate with a master’s degree in International Business Law. I am fluent in five languages. A polite, friendly, and well-rounded individual who is able to engage with diverse clients and colleagues. A experienced professional with a strong background in regulatory reporting, audit review, and incident response and resolution. Demonstrates expertise in KPI reporting, staff training and development, and Know Your Customer (KYC) procedures. Adept at data privacy and protection, stakeholder communication, compliance monitoring, data analysis, and risk management. Committed to driving organisational success through effective compliance strategies and continuous improvement initiatives.
Overview
8
8
years of professional experience
1
1
Certification
Work history
Retail Compliance Assistant
Carroll & Partners Ltd
07.2023 - 04.2025
- Ensured regulatory adherence, identify and mitigate risks, and facilitate efficient compliance operations, contributing to the organization's regulatory integrity
- Improved compliance standards with thorough report reviews and feedback.
- Prepared comprehensive reports to support management decision-making.
- Monitored changes in relevant legislation, keeping the organisation abreast and compliant at all times.
- Ensured regulatory adherence by maintaining detailed records of compliance activities.
- Deputising for the retail compliance manger, while managing all 150 retail compliance folders
- Developed and routinely updated comprehensive compliance procedure guidelines, enabling the compliance team to perform their tasks while adhering to regulatory standards
- Conducted due diligence on trading partner approvals and Terms of Business Agreements to reduce potential risks
- Managed all retail compliance folders and ensured adherence to UK regulatory standards
- Identified and escalated regulatory risks, ensuring timely resolution
- Conducted due diligence, screened sanctions, and managed corporate governance and risk
- Completed questionnaires aiding in KYC requirements
- Monitored staff training to ensure compliance with FCA regulations
- Conducted horizon-scanning for regulatory developments and promptly implemented new regulatory changes and facilitated proactive compliance adjustments
- Actively participated in resolving breaches, complaints, and handling Errors & Omissions (E&O) notifications, ensuring prompt and effective resolutions
- Liaised with auditors for binder and internal audits
- Assisted with product governance framework
- Regularly reviewed and updated Policies
- Developed training materials and webinars to educate team members on compliance needs and regulations.
- Submitted data-driven reports to senior leaders, informing future compliance planning and strategy.
- Liaised with stakeholders to report and advise on compliance-related issues.
Human Recourses Administrator
Santander Bank
12.2022 - 07.2023
- Streamlined HR processes, managed employee relations, ensured regulatory compliance, and fostered a positive work environment through effective communication and coordination of employee engagement activities
- Facilitated daily communication with onboarding candidates
- Maintained high standards in employment records and data management
- Managed disciplinary processes, grievances, statutory rights, redundancies, settlements, and absences
- Oversaw performance management, including onboarding, probation, improvement plans, reviews, and exit interviews
- Ensured compliance with UK right to work checks and FCA regulations
- Coordinated company-wide events to boost employee morale
- Facilitated performance review process to encourage employee growth.
- Supported management with decision-making through comprehensive HR reports.
- Handled employee relations issues, resolving conflicts effectively.
Financial Health/Design & Compliance
Cop Monzo Bank
01.2022 - 12.2022
- Proactively managed escalations and ensured compliance with regulatory obligations while onboarding and training new employees
- Negotiated with technical and non-technical stakeholders
- Supported design production with additional information
- Prepared and shared design drafts and layouts to communicate progress
- Escalated complex issues to the appropriate department
- Oversaw customer escalations and ensured concerns were addressed in a timely manner
- Ensured regulatory compliance while implementing commercial solutions
- Provided training to new starters
Credit control specialist
Metro Bank
02.2020 - 01.2022
- Efficiently managed credit control processes, performed risk assessments, ensured regulatory compliance, and facilitated effective communication with stakeholders and clients, enhancing overall financial security and awareness
- Analysing loans and conducted risk assessments to mitigate financial risks
- Ensured compliance with FCA regulations
- Performed due diligence on customers
- Maintained regular communication with third parties
- Promoted business digital innovations and informed clients about available products and services
Compliance and HR Assistant
Manger Global Chauffeur
02.2017 - 01.2020
- Provided comprehensive HR support, managed employee relations, ensured compliance with statutory requirements, and facilitated performance management processes to foster talent development and organizational efficiency
- Supported HR management and daily operations
- Collaborated with the Head of HR on various tasks
- Directed employee relations, managing disciplinary processes, grievances, statutory rights, redundancies, settlements, and absences
- Oversaw performance management, including onboarding, probation, improvement plans, reviews, and exit interviews
- Identified high performers and implemented professional development plans
- Handled correspondence between departments improving internal communication.
- Supported new hires during onboarding process, helping them settle into roles faster.
- Coordinated training sessions to enhance employees' skills and knowledge.
- Oversaw scheduling of annual leave requests avoiding understaffing issues during peak holiday seasons.
- Ensured adherence to employment laws, minimising legal risks.
Education
Master - International Business Law
Middlesex University
LLB (Hons) - Law, Human Rights and Social Justice
De 'Montford University
Within Level 3 Public Services Extended - undefined
City of Westminster College, Westminster College
French/ Portuguese/Geography/Religious Studies / Business/English/ICT/Math's/Science
Holloway School
01/2012 - 07/2016
Skills
- Regulatory Reporting
- Audit Review
- Incident Response and Resolution
- KPI reporting
- Staff Training and Development
- Know Your Customer (KYC)
- Data Privacy and Protection
- Stakeholder communication
- Compliance Monitoring
- Data Analysis
- KYC procedures
- Risk Management
Certification
- Payroll
- Accounting & Finance
- Employment Relations - Recruitment Process
- Performance Management
- HR Management
Languages
Portuguese
French
English: First Language
Italian: B1
Intermediate Spanish: B1
References
References available upon request.
Timeline
Retail Compliance Assistant
Carroll & Partners Ltd
07.2023 - 04.2025
Human Recourses Administrator
Santander Bank
12.2022 - 07.2023
Financial Health/Design & Compliance
Cop Monzo Bank
01.2022 - 12.2022
Credit control specialist
Metro Bank
02.2020 - 01.2022
Compliance and HR Assistant
Manger Global Chauffeur
02.2017 - 01.2020
LLB (Hons) - Law, Human Rights and Social Justice
De 'Montford University
Within Level 3 Public Services Extended - undefined
City of Westminster College, Westminster College
Master - International Business Law
Middlesex University
French/ Portuguese/Geography/Religious Studies / Business/English/ICT/Math's/Science
Holloway School
01/2012 - 07/2016
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