Claire Buchanan Email and Phone Number

Fund accounting, middle office and transfer agency controls Business risk meetingManager controls assessment - RCSATrend analysis and reporting Client controls meetings and joint risk meetings Controls reviews / deep divesStaff management Project governance

Fund accounting, middle office and transfer agency controls Business risk meetingManager controls assessment - RCSATrend analysis and reporting Client controls meetings and joint risk meetings Controls reviews / deep divesStaff management Project governance

Provides and manages the Quality Control oversight function across all Edinburgh Operational areas and processes run by Centres of Excellence servicing Edinburgh Clients. A conduit between Operations Controland the Operations Business.

• Financial Governance and Reporting• Key Risk Indicators Governance and Reporting• TCF Manager responsible for promoting a robust TCF culture within the Transfer Agency (TA) business aimed at 1,000+ staff, which includes developing training materials, subject matter expert for client visits, developing and maintaining the TCF collateral for staff, for example briefings and newsletters• Creation of the TA house view of Conduct Risk• CASS Audit, Risk and Compliance Tracking and oversight of the Risk Register for Transfer Agency (RCSAs)• Responsible for tracking and driving the completion of actions to close out gaps identified by Compliance and Audit. This includes regulatory changes (CMAR, diversification) and improvements to CASS processes, for example policies, training and streamlining.• Threshold Competency (T&C) Lead Co-ordinator• Overisight and monitoring of regulatory breaches• MI and Governance for Financial and CASS Committees

Learning Wheel was a training concept specific to TA. Led initiative for the Edinburgh operation; developing and delivering the technical training courses, writing business requirements, project managing and testing the Learning Wheel Database. Dealing Manager responsible for a department where 40 staff handled manual, telephone and automated dealing. Managing the box management function. Process improvement, staff management. Managed the team through transition whilst functions were being offshored, whilst maintaining KPIs and a motivated team.

• Income clerk eventually progressing to a managerial role• Managing relationships with banks and brokers• Client query resolution and service control. • Managed a department of 38 staff, covering four teams: Control, Portfolio Services Enquiries, Disclosures and Income Query Clearance• Managed transition of department to another location

Processing corporate action events

Processing equity and unit trust income. Pre and post reconciliationQuery resolution

• Assessor for Business Administration NVQs, levels II and III• Internal Verfier for Business Administration NVQs• Monitoring of trainees in their workplace• Delivering classroom training relating to Business Administration NVQs• D32.D33 and D34 qualified