Elizabeth Shogelola

- Establish and maintain monitoring and reporting processes and procedures to ensure that any compliance breaches are readily identified, reported and promptly acted upon. - Ensuring effective oversight of the maintenance and evaluation of AML/CTF policies and procedures to ensure compliance with the UAE Federal laws, as well as the DIFC AML regulations. This includes ensuring that these policies and procedures are up-to-date and aligned with the latest legal and regulatory developments and requirements. - Acting as the point of contact to receive notifications from the Firm’s Employees under DFSA AML rule 13.2.2; and taking appropriate action under DFSA AML rule 13.3.1 following the receipt of a notification from an Employee; - Making Suspicious Activity Reports in accordance with Federal AML legislation; - Acting as the point of contact within the Relevant Person for competent U.A.E. authorities and the DFSA regarding money laundering issues; - Responding promptly to any request for information made by competent U.A.E. authorities or the DFSA; - Receiving and acting upon any relevant findings, recommendations, guidance, directives, resolutions, sanctions, notices or other conclusions described in DFSA AML Rule book and establishing and maintaining an appropriate money laundering training programme and adequate awareness. - Establish and maintaining risk management systems and controls to enable the Firm to identify, assess, mitigate, control and monitor its risks; - Developing, implementing and maintaining policies and procedures to manage the risks to which the Firm and, where applicable, its customers or users are exposed; - Ensuring that the Firm is aware of the implications of any Group-wide risk policy and systems and controls regime; - Updating the Firm’s risk register on a periodic basis; - Ensuring the Firm’s Business Continuity and Disaster Recovery Plan is in place and is kept up-to-date and tested at appropriate intervals.

DFSA Authorised Individual for Compliance and MLRO ▪ Liaising with and being the key point of contact with the Dubai Financial Services Authority (‘DFSA’). Responsible for ensuring timely reporting to the DFSA. ▪ Liaising with and be a key point of contact with the Saudi Arabia Capital Markets Authority – should this be required later in 2018 / 2019. ▪ with the UK compliance team in relation to the take on of new clients including KYC and AML matters. ▪ Assisting the UK compliance team in responding to UCITS investment queries from Fund Trustees, and/or other global offices. ▪ Working with the business in the interpretation of segregated mandate client guidelines for Charles River coding, liaise with Charles River team in New York on coding and coding issues relating to LGL mandates. Monitoring investment guidelines and restrictions using the Charles River system. ▪ Participating in project work linked to funds, new business or regulatory developments. ▪ Co-operating and liaise with Internal Audit to assist them with their audit reviews and give assistance to the relevant businesses in implementation of recommendations where compliance is involved. ▪ Responsible for timely filings to the DIFC of all company related documentation. ▪ Maintaining various registers/logs such as PA dealing, Gifts and Entertainment etc. Maintain breaches and error logs and review and advise on breaches and rectification required, particularly investment related. Maintain complaint files for LGL. ▪ Liaising with the UK and NY legal team on Investment Management Agreements, Fund Distribution agreements and other associated agreements and documents. ▪ Assisting with RFP and Marketing Materials signoffs as required. ▪ Assisting with board material for the LGL Board & Fund boards.

DFSA (Dubai Financial Service Authority) Authorised Individual as Compliance Officer, Money Laundering Reporting Officer (MLRO) and Senior Manager for 5 leading multinational financial institution in DIFC. 1. Zenith Bank (UK) Limited - (DIFC Branch) 2. Capital Investments (DIFC) Ltd 3. LGT Capital Partners (Dubai) Limited 4. Neerav Investment Advisory Services (Dubai) Limited 5. 360 ONE Private Wealth (Dubai) Limited My role includes: • Establishing and implementing systems and controls including AML Manuals, Compliance Manuals, BCP, Risk Management. • Preparing and conducting Compliance Monitoring following a risk based approach. • Developing systems and controls in respect of identified emerging compliance risks • Producing quarterly reports on compliance for Board of Directors and attending Board meetings. • Managing the group anti-fraud programme, compliance monitoring programme and conducting regulatory policy reviews. • Providing compliance and AML advisory services, compliance and corporate governance training. independent AML, CTF and compliance framework reviews to other regulated entities. • Carrying out Independent reviews of DFSA Authorised Firm’s systems and controls, client files and policies and procedures. • Client on boarding - identifying AML Risks and conducting regular reviews of client files. • Risk Officer for an Asset Management company in DIFC. • Company Secretary for 3 of my clients – dealing with data protection commissioner and the ROC office. PROJECTS AML Specialist - Bank J. Safra Sarasin Asset Management (Middle East) Ltd 1. Carried out Bank’s AML investigations in line with the relevant directives and recommendations. 2. Ensured complete and proper implementation of regulations and guidelines regarding AML. 3. Customer due diligence on new and existing client files retrieved information and analyzed transactional activity extensively using the Bank’s data systems.

As a Compliance Quality Coaching Officer I am responsible for: • Identifying and implementing continuous improvement within the department and wider business and assist in the implementation of key business projects • Staff training and development programs are in place and implemented to assure competency • Dealing with Anti Money Laundry and fraud cases and reporting to Director of Risk and Compliance. • Developing, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation • Carrying out quality control checks on the members of staff throughout the department to ensure company standard is maintained • Maintain the Breaches Log and Monthly AML checks. • Compilation of Monthly Compliance Board Report data. • Analysis and Reporting of monthly complaints data. • Complaints Oversight and Conduct Risk Reporting. • Third Party Oversight/Monitoring. • Review and development of annual compliance plan. • Liaising with law enforcement agencies. Loss Mitigation and Asset Management specialist I worked as a Loss Mitigation and Asset Management specialist I am responsible for: • Direct negotiation with mortgage customers within portfolios purchased or managed by Apollo Capital. • Minimising likely losses in the resolution of performing and non-performing loans. • Building relationships and negotiating with the customer and agree a resolution plan. • Training new staffs that are totally new to the Loss Mitigation concept. • Consideration of a range of resolution plans including, where necessary, short sales or refinance plans and assisted or monitored property sales for specific agreed timelines. • Investment Portfolio and Asset Management. • Arrears/debt management and legal activities.

I work as a Senior Credit Controller in the Cheshire Mortgage Corporation which is part of Blemain finance, my main duties involve: • Responsible for 500 live accounts • Dealing with Customers mortgages arrears advising them on how to bring their payment up to date • Responsible for taking legal action on account that is far in arrears. • Chasing a ledger of customers account on a daily basis regarding outstanding debts. • Corporate credit control via telephone, email and letter and sending reminders • Investigating any mis-allocated payments • Making necessary adjustments. • Targeted on Team and Personal target.

I work as a financial service advisor in the Consumer Finance department which involves: • Dealing with customer with financial difficulties, • collecting debts that are outstanding, • Setting up arrangement, preparing financial statements. • If customer disposable income is insufficient I was responsible for finding alternative options such Debt management plans and the Provision of Individual voluntary arrangements (IVA) we advise customer of the benefit and provide this customer that are requiring debt restructuring solution. • Highly proficient in product knowledge in order to offer the companies services and up sell. • This was a target driven environment where I achieved the company standards and KPI’s daily and over achieved to reach personal and department targets and budgets.

This is a finance company that specializes in lending out loans and finance. • My duties were administration, client liaison, customer services and underwriting which involved approving loan and sending out letter to clients and customers. • I was also responsible for calling up customers that has not paid back their loan and setup arrangement for them to payback what they owe and also selling insurances. • We also had complete range of in-house tailored financial solutions through the brokering and packaging of mortgages, loans. I gave customers advice about the best way to sort out their debt problems, by advising them about option that were open to them such as the provision of individual voluntary arrangements (IVA's) and debt management plans for clients requiring debt restructuring solutions. And if they had no assets the last result was bankruptcy.