Colm Fitzpatrick Email & Phone Number

Dublin, County Dublin, Ireland

Dublin, County Dublin, Ireland

• Investment Guideline Monitoring - Daily post trade monitoring on Charles River and also cover UK during transition or holiday periods. Liaise with the depositary around breaches and errors and other queries that may.
• Marketing - Review and sign off on all marketing materials related to the ManCo and our branches. Update disclaimers and make ongoing improvements to the overall process.
• Board Reporting & Compliance… Show more
• Board Reporting & Compliance Monitoring Plan - Streamlined and updated our quarterly board report and monthly DP report to provide more concise management information for our directors. Update Compliance Monitoring.
• AML - Conduct thorough screening on all new distributors and terms of business clients and perform a periodic refresh. Liaise with our Fund MLRO on a regular basis around any board matters or general issues that arise..
• Regulatory reporting - Administrator of the CBI portal, take ownership for various ongoing returns along with ad hoc letters and tasks that may occur. Liaise with IT and service providers to help improve reporting.

Dublin, Co. Dublin, Ireland

• Extensive regulatory engagement particularly with the CBI – Liquidity, BCP, Industry letters (CP86, Fitness & Probity), Various ManCo & Fund level ONR reporting
• Compliance Officer for Netherlands and Swedish branch
• Leading various projects from inception through completion that have an impact on business functions
• Identifying potential gaps in controls and processes and areas for improvement
• Supporting the Head of Compliance with the drafting and presentation of Board… Show more
• Supporting the Head of Compliance with the drafting and presentation of Board papers

Dublin, Leinster, Ireland

• Fund Accounting oversight - cashflow monitoring, cash, stock & units reconciliations, NAV reviews
• Transfer Agency oversight - Failed trades, Income distributions
• Investment compliance monitoring
• Continuous improvement and automation to processes
• Client on boarding from an operational perspective
• Reporting breaches and resolving in a timely manner

County Limerick, Ireland

• Prioritising my time to consistently meet various reporting deadlines
• Leading projects within the Cash Flow team
• Training and mentoring new hires
• Giving presentations on Cash flow monitoring procedures and processes
• Testing and implementation of new software systems within the department

Newmarket, Co. Cork

• Responsible for preparation of monthly LEADER returns to government
• Assisted in the compilation of financial reports for board meetings
• Liaised with staff across all programmes within the company and dealt with both internal and external client queries

Professional Diploma In Compliance

Professional Certificate In Compliance

Certificate In Professional Coaching Skills

Bachelor'S Degree, Business Studies