Christopher Hatt Email & Phone Number

London, England, United Kingdom

• Took sole responsibility for the relocation of the mailroom due to COVID
• Organised workflows with each business unit which enabled them to work remotely with no interruption to the business
• Ensured that all incoming post was sorted, reconciled and delivered promptly to ensure RJIS Operations Teams maintained their processing service levels
• Logged, reconciled and banked inbound cheques
• Processed crest/stock transfer/stock certificates
• Maintained accurate daily logs of each item received

London, United Kingdom

• From launch I have been responsible for creating, implementing & carrying out all operational processes including but not limited to:
• The daily rec for all trades, position and client cash to be completed on a daily basis.
• Client withdrawal and deposits
• All client queries via the dabbl app “chat” function (Intercom)
• Processing all corporate actions (cash dividend, rights Issues, takeover etc.)
• On boarding new clients (Passfort)

London, United Kingdom

• Support Trade Execution Team who place trades in the market on receipt of Investment Managers/Clients instructions within stated deadlines
• To monitor trade statuses and chase for trade confirmations/contract notes where required
• Book trades to in-house custody system
• Instruct payments where required
• Responsible for completion of account opening forms for new client/additional designations
• Responsible for the maintenance of the databases and filing systems to keep track of all trades executed

London, United Kingdom

• Responsible for reconciling and settling equities, CFDs derivatives, unit trusts, free of payment transfers providing middle office functionality for all on exchange products within the business. Investigated and.
• Conducted, administered and amended trades as required within day-to-day activities. Liaised with internal parties and external brokers to an agreed schedule for all discrepancies. Reconciled derivative trades and.
• Managed a day-to-day portfolio of regulated financial sales and their administrative oversight (checking, monitoring, remedial advice and supervision). Gave guidelines to best practice and adherence to rules and.
• Responsible for risk management control. Communicated to the central management team all cases deemed in breach of compliance best practice and principles. Oversaw all ongoing administrative amendments to acceptable.
• Carried out one-to-one counselling of key sales and administration staff in advising and achieving fully compliant and regulatory best practice sales and operational instrument documentation. Maintained an emphasis on.
• Managed day-to-day checks and recorded all breaches. Escalated and reported to senior administration, management and key stakeholders where required.

London, United Kingdom

• Identified, developed and implemented new processes across the settlement areas; ensured all members of staff were fully conscious of the company culture to maintain quality, minimise risks and hold down costs.
• Led, motivated and developed all direct reports; maintained morale at high levels. Utilised performance management and assessed through appraisal process.
• Ensured that systems, procedures and controls were in place both to achieve quality/operational standards and to ensure compliance with FCA, CREST, Inland Revenue regulations and guidance on best practice.
• Held a strategic responsibility regarding reviews and implementation of all FCA policy and consultation statements. Carried out detailed examination and interpretation of all new policy changes and effective.
• Responsible for the detailed working knowledge and completion for all FCA online notification reports and returns. This included the online report FCA reporting documentation.
• Provided leadership and vision to the company by assisting the board and senior management with developing quarterly compliance reports and annual plans in combination with the evaluation of all new policy changes by.

London, United Kingdom

Crest SettlementDaily PositioningCrest daily cash – ensuring funds are available for settlement of all equity Trades.Responsible for checking caps to ensure funds are available to settle tradesDaily monitoring of all failed reports to ensure prompt settlementAgree trades with brokers and liaise extensively with clients Matching Crest Trades using GUI and.

London, United Kingdom

After leaving the 6th form, I started at Killik & Co. as an office junior and worked in various departments, gaining a considerable amount of back and front office knowledge and experience, before becoming a supervisor. I was a supervisor of a team of 7 staff, comprising of Settlements (UK, Foreign, and Unit Trusts), Checking and UK, Foreign and Unit Trust.