Ben Macaulay Email and Phone Number

KYC Analyst:• Interpret and implement Global and Local AML KYC Policies to mitigate potential risks on behalf of a Tier 1 Investment Bank• Interacting with Institutional and Corporate clients daily to gather regulatory information and mandatory documentation to successfully complete KYC due diligence• Ongoing maintenance/refresh of existing customer data• Research and validation of customer identification data/evidence using appropriate internal and external data sources• Liaising with key internal stakeholders; Sales, Credit, Legal, Compliance• Perform detailed Sanctions Screening and PEP reviews, utilizing a range of trusted industry sources• Achieve operational goals set, and deliver against agreed targets in terms of quality and productivity

Regulatory Certification Refresh Outreach​​​​​• Ensuring clients are compliant with FINRA 2111, MSRB Rule D-15 (SMMP), SEC’s Municipal Advisory Rule best practices• Reviewing Broker Dealer clients and remediating the information• Liaising with the client directly on a daily basis to resolve significant queries in relation to outstanding discrepanciesMiFID II Regulatory Outreach​​​​​​​Feb 17 – Feb 18• Managed a large population of clients and gathered bespoke data regarding compliance with MiFID II regulation• Maintaining awareness and taking action with relation to ongoing regulatory change and client circumstances• Managed client queries and handled client calls from a diverse range of stakeholdersFinTrU (Financial Transparency Utility) Limited provides High-Quality, Cost-Effective, On-shore Outsourcing for Financial Services. As a FinTrU Analyst, I have graduated from a bespoke FinTrU Financial Services Academy that comprised of intensive training in financial markets, financial regulation and investment administration with a focus on data analysis and management. As part of the Academy I have completed Investment Operations Certificate (IOC) module 1. Graduates from the academy enter onto the 2 year FinTrU Analyst Programme which combines on-the-job training with professionally accredited qualifications. As an Analyst, I will complete IOC modules two and three and as such become fully qualified. The FinTrU Analyst programme also involves the completion of project management, process re-engineering and data management training while diverse professional experience is gained working on client engagements.