Dan Paveley Email & Phone Number

United Kingdom

London, England, United Kingdom

London, United Kingdom

• Monitoring and testing of adherence to AML procedures by Operations teams for account openings• Feedback to Operations teams for missing or incorrect KYC documents• Ensuring accounts reviewed are compliant with internal procedures and industry regulations• UK and international investor PEP and Sanction screening• Collecting samples and analysing sampled MI for month end reporting to senior management• Resolution of referred queries from our TA teams and internal investor services team

London, United Kingdom

• Review of KYC documents for individuals and corporate investors• UK and international investor PEP and Sanction screening• Supporting numerous TA teams enforcing CDD & EDD processes where appropriate• Collating MI for month end reporting to clients• Resolution of escalated queries from our overseas TA teams• Organisation of client audit requests• Training support for new team members

Chelmsford, United Kingdom

• Daily transaction monitoring to minimise fraudulent activity and financial crime • Retail and International client PEP and Sanction screening • Investigating suspicious activity reports and IA alerts • Oversight of our TPA’s, including authorising referrals and investigating escalated client issues • Reviewing and reporting of industry and regulatory changes and practices • Collating management information for month end reporting to the head of FCPU • Checking for alleged or conspicuous fraudulent AML documents referred by our TA

Brentwood

• Quality checking AML correspondence before distribution to clients • Maintaining controls to combat fraud and other aspects of financial crime • Liaising with foreign offices to ensure client KPI’s are adhered to • Producing and distributing weekly/monthly reports to other key TA teams • Reviewing of AML documentation to verify authentic identification • PEP project leader in BNY’s Dublin office for a three month period. This was to review and structure their PEP process from identifying a PEP to collecting key information from the client

Dublin

•Managing & improving the Irish client base PEP process•Liaising with brokers & investors regarding their PEP status•Sourcing legal documents & identifying potential PEP clients•Providing lean continuity solutions to the Dublin team•Supporting the BAU team during peak times

Basildon

• Daily monitoring of EMX and Calastone systems to ensure STP work flows are operational • Launching new fund and share classes onto the EMX and Calastone platforms • Liaising with agents and nominees to investigate STP issues • Completing daily tasks in line with book closures and fund/share class launches/closures • Producing and distributing MI to senior management

Dublin

• Host of monthly/quarterly client and senior executives conference calls • Prompt resolution of client enquiries within a 24 hour SLA • Trade placement of up to €100m across multiple currencies • Producing and delivery of account audit reports to PWC and Deloitte • Quality checking oversight of trades, settlement and contract note releases

Basildon

Distributor Services Administrator:• Investigating complex enquiries from agents and nominees by email, fax and post. • Training new members of the team to deal and how to manage the query inbox • Escalation point for difficult servicing agents and nominee representatives • Ad hoc tasks completed in a timely manner and flexible with emergency overtime Telephone Dealer: • Placement of ISA and OEIC/UT telephone deals mainly for private investors • Timely completion of daily tasks before valuation points for numerous clients administered by IFDS • Detection of breaches and errors for appropriate escalation and reporting purposes • Communicating client, team and corporate changes to the wider business areas

Advanced Certificate, Anti-Money Laundering & Financial Crime, Pass

Passed the ICA Advanced Anti-Money Laundering Certificate

Faq Level 3, Mental Health First Aider In The Workplace

FAQ Level 3 Award in Mental Health Workplace First Aider Certificate