MiFID II Implementation

CASS and Regulatory Control Business Analyst/Project Manager

Tracking of CASS (Client Assets) project remediation actions to completion and MI reporting on the progress.

I was responsible for the completion of the daily client money requirement calculation, the checking of junior analysts work and the review of CASS (Client Assets) regulatory breaches from internal departments and external service providers.I worked daily with all areas of the business to resolve client money related issues to tight deadlines to ensure accuracy of client money requirement. On the identification of any issues I reported to senior stakeholders providing proposals about… Show more I was responsible for the completion of the daily client money requirement calculation, the checking of junior analysts work and the review of CASS (Client Assets) regulatory breaches from internal departments and external service providers.I worked daily with all areas of the business to resolve client money related issues to tight deadlines to ensure accuracy of client money requirement. On the identification of any issues I reported to senior stakeholders providing proposals about what adjustments/changes are required to maintain the accuracy of the calculation. Show less

I was the lead of an internal reconciliation review that formed part of a larger high priority project.As part of this I was responsible for conducting meetings with senior managers and subject matter experts within business areas to produce detailed documentation and process flows for all cash and stock break, the organisation of time lines and workloads, review and evaluation of project documentation and MI, and the reporting to senior stakeholders on the project targets and deadlines.

Analysis and production of MI reporting on third party providers. Monitoring and resolving regulatory breaches, client complaints, client money accounts, stock/cash reconciliations and outstanding debtors & creditors. Checking and authorising invoices for payment from third party providers.Training staff members ensuring that they are capable of completing all tasks that I have helped to introduce to the team. Investigating Ad Hoc queries to help resolve any discrepancies identified with… Show more Analysis and production of MI reporting on third party providers. Monitoring and resolving regulatory breaches, client complaints, client money accounts, stock/cash reconciliations and outstanding debtors & creditors. Checking and authorising invoices for payment from third party providers.Training staff members ensuring that they are capable of completing all tasks that I have helped to introduce to the team. Investigating Ad Hoc queries to help resolve any discrepancies identified with information reported by the third party provider. Preparation of training guides. Presenting monthly statistics at key stakeholders meetings. In addition I am leading a key project to enhance an invoice payment process using lean six sigma tools. Show less

Monitored all aspects of ISA accounts. Produced daily statistics for management report. Prepared training materials and trained team members.Prepared outstanding resource organisation. Took responsibility for the delegation and completion of my team’s daily tasks. Investigated and resolved significant issues around missing funds from accounts being transferred in.