Aaron Guy Email & Phone Number

Peterborough, United Kingdom

Responsible for completing initial and ongoing due diligence reviews of outsourced investment managers and distributors and providing reassurance to the business that delegates are operating in a compliant manner. Requires sound understanding of the operation of UCITS and Non-UCITS (NURS) investment funds as well as FCA Handbooks such as SYSC, COBS and COLL. Involves close working with the firms Compliance Officer, regular communication with key internal and external stakeholders and the day-to-day management of two members of staff. Duties include:  Completing desk based and on site compliance reviews of investment managers and distributors. Maintenance of compliance monitoring schedule and responsibility for ensuring all reviews are carried out in accordance with the schedule. Reporting review outcomes to senior management and managing these actions until closed. Updating and expanding the due diligence monitoring programme to ensure it remains up to date with regulatory change, industry best practice and business requirements. Creating and completing additional due diligence programmes for ad-hoc administration, trade execution, trustee/depositary and custodian outsourcing. Production and ongoing maintenance of regulatory documents including Prospectus and KIIDs. Review and approval of customer communications and financial promotions. Reviewing fund investments to ensure compliance with regulatory restrictions. Completing compliance element of client projects including work on FCA applications. Review and assessment of regulatory change and its impact upon both the business and the monitoring programmes and involvement with the implementation of relevant changes. Providing internal training where required. Providing compliance advisory services to internal and external stakeholders. Production of management information and key performance indicators. Completion of Best Execution reviews and Level Two CIS Commission Disclosures.

Continuation of previous Investment Control Analyst role following the subsidiary’s acquisition by Marlborough Fund Managers. Dual reporting lines into the Compliance Officer and Director of Third Party Relationships. Responsibilities included: Key contact for clients for enquiries, service issues, projects and business discussions. Daily email and phone contact with clients and regular face-to-face service review and relationship meetings. Production of MI and KPIs for service review meetings. Maintenance of registers of actions arising from day-to-day discussions and service review meetings and progressing these until closed.  Controlling and ensuring timely completion of all client projects with regular stakeholder management and reporting. Managing fund platform relationships, including the completion of take-on pro forma and responsible for the review and negotiation of agreements and SLAs.  Assisting the compliance department with monitoring portfolios against regulatory restrictions, conducting eligibility assessment of new investments or other day-to-day monitoring. Review and approval of customer communications and financial promotions. Providing technical and regulatory advice to internal and external stakeholders. Manage and participate in projects relating to regulatory change and ensuring relevant changes are adopted and functions remain compliant. Involvement with the production and review of regulatory documentation, including Prospectus, Supplementary Information Documents, KIIDS and Application Forms. Conducting desk based and on-site compliance reviews of investment managers, distributors and administrators with necessary remedial action being reported to senior management and tracked to closure.  Main day-to-day contact point for firm’s liaison with external administrator and attendance at regular service review meetings.

A role within the Authorised Corporate Director subsidiary of BNP Paribas which provided fund hosting services. Working on a team of three which was primarily responsible for the oversight of outsourced functions and supporting BAU and project activities. Responsibilities included: Monitoring of portfolios against regulatory restrictions and completing pre-investment eligibility assessment of new investments. Review and approval of customer communications and financial promotions. Trend analysis and management reporting of breaches and complaints. Production of MI and KPIs for senior management and board of directors. Day-to-day email and phone contact with clients and service providers to manage service delivery and respond to fund related queries and issues. Involvement with producing and agreeing regulatory documentation, service level agreements and legal agreements. Regular attendance at client and service provider service reviews. Provided technical and regulatory advice to clients and outsourced functions. Involvement in preparing the business and outsourced functions for fund and share class launches, mergers, terminations and other significant and notifiable events. Manage and participate in projects relating to regulatory change and ensuring relevant changes are adopted and functions remain compliant. Managing fund platform relationships, including the completion of take-on pro forma and involvement with the review and negotiation of agreements and SLAs.  Responding to new business enquires and completing RFIs and RFPs. Conducting on-site compliance reviews of investment managers, distributors and administrators with necessary remedial action being reported to senior management.  Continual ongoing oversight of outsourced functions through the monitoring of service delivery against regulations and service level agreements.

Role requiring an extensive knowledge of Transfer Agency administration processes. Role involved ensuring that all internal teams and systems were prepared for the launch of a new product or process or a change to an existing one. Responsibilities included: Liaison and meetings with clients and business stakeholders to establish requirements. Liaison with IT departments to ensure relevant system changes were tested and implemented. Developing and establishing new processes and producing procedures and service level agreements. Communicating with business areas and clients to ensure responsibilities and service levels were defined. Providing training. Monitoring and oversight following implementation.In addition to these duties, the role also included, workload permitting, completing process improvement projects that delivered cost reduction and increased efficiency without the need for IT change. Highlights included: Completion of a 5 day Lean and Six Sigma training course and a 3 day Project Management course. Coordinating project meetings, managing stakeholders and ensuring full project completion. Use of Lean and Six Sigma tools to identify process improvements. First project realised savings of £58,000. Two smaller ‘Kaizen’ projects completed. Involvement in the implementation of 5S principles within the business.

Joined the company’s Transfer Agency function as an administrator and later promoted to Senior Administrator. Worked on various specialised administrative teams before joining an end-to-end processing team undertaking all administrative process for one of the company’s clients. Responsibilities included:  Completing and later overseeing and checking administrative tasks. Training and development of new and existing members of staff. Deputised for Team Leaders. Experience completing Box Management process.  Producing and maintaining documented procedures.

A varied role completing call centre duties on behalf of various large UK and international organisations. Working to hourly and daily targets on customer satisfaction and data collection surveys to businesses and consumers, appointment setting and sales calls to businesses, answering inbound customer services lines and conducting mystery shopping exercises.