David Conley Email & Phone Number

Romford, GB

• Analyse and monitor systems and processes for SFTR, EMIR and MIFID regulatory compliance requirements
• Oversight of day to day BAU Coverage performed by Hyderabad & Edinburgh teams of approx. 10 team members
• Responsible for daily oversight of the SFTR, MIFID and EMIR State Street reporting obligation workflows for State Street & on behalf of delegated clients
• Understand & enhance the workflows associated with regulatory reporting supporting the teams in Hyderabad & Edinburgh where necessary
• Oversight & validation of daily regulatory reporting reconciliations performed by the teams in Hyderabad & Edinburgh using the DUCO reconciliation platform
• Adhere to operational procedures and demonstrate a thorough understanding of the department’s oversight responsibilities – Review / revise department procedures in line with workflow requirements

• Daily management of SFTR submissions using the UnaVista ARM, including the investigation & resubmission of exceptions within the required T+1 reporting timeframe.
• Perform root cause analysis & report on any SFTR late reports outside of the required T+1 reporting timeframe.
• Perform various reconciliations analysing unmatched & partially matched SFTR submissions.
• Raise JIRA’s with the Technology Support Team to fix any problems identified by root cause analysis of reporting issues. Perform BAU testing of fixes & give final sign off for fix to go into production.
• Produce both daily & monthly management MI reports & commentary.
• Presentation of monthly MI data to a forum including senior Operations management & other stakeholders.

London, United Kingdom

• Managing the Dealing & Control Team whose duties include:
• Place trades with various Brokers/Fund Houses via portal, fax, phone etc
• Commit trades in system in line with trade confirmation data
• Liaise with Brokers, Custodians etc to resolve any trade related issues
• Review and develop internal processes to ensure good quality control and compliance
• Development of new controls and procedures to reduce risk and increase efficiency

London, United Kingdom

• Provide subject matter expertise to assist client manage the volume of issues within their Trade & Transaction Reporting Team
• Definition and documentation of the Operating Model detailing all processes which will be needed to support the EMIR & Dodd Frank transaction reporting processes for Client
• Liaise with external reconciliations tool provider (Tri-Optima) to introduce & test the use of Tri-Resolve as tool to be used to reconcile Client to GTR transaction reporting
• Liaise with GTR (DTCC) to provide daily trade file to Tri-Optima for Transaction Reporting Reconciliation
• Liaise with internal stakeholders to ensure accurate & timely update of static data in Client systems before upload to Tri-Resolve
• Produce & execute Test Scripts to ensure Tri-Resolve is “fit for purpose” before release in Live environment

London, United Kingdom

• Definition and documentation of the model detailing the process required to support the German Equity depo account remediation project
• Project goals include reconciliation of approx. 1,400 aged German Equity position breaks across 2 different accounts
• Liaise with both onshore & off shore (India) departments to ensure the entries/stock movements required to clear the breaks are passed working to tight deadlines
• Create MIS around the reconciliation process to track progress & to highlight any root issues to senior management and business stakeholders

London, United Kingdom

• Definition and documentation of the Operating Model detailing all processes which will be needed to support the EMIR UTI pairing & matching process for Deutsche Bank
• Engage the correct teams throughout the bank to ensure awareness of new processes and teams being established as a result of EMIR UTI pairing & matching process
• Supporting the DTCC Pairing and Matching process to route queries to the relevant internal groups as defined in the client communication model and perform root cause analysis where relevant
• Handle client queries around Deutsche Bank’s process in relation to DTCC Pairing and Matching Breaks
• Create MIS around the UTI pairing & matching process performance to highlight issues to senior management and business stakeholders
• Monitor DTCC/internal reports to perform root cause analysis on pairing issues

In my role as Senior Analyst I worked with a Team of 7. Key areas of focus included:- Perform numerous inter-system reconciliations, liaising with front Office & finance Dept to ensure all Static Data breaks/errors are resolved by no later than T+1 - Monitor Team email inbox, allocating actionable items where required to ensure issues are prioritised &.

In my role as Director, I owned, set up & successfully run small Catering business. Built up the customer base & increased turnover throughout 2009 - Sold business in 2010 for a profit.

Contract role - Company relocated out of the UK in Feb 2009In my role as Trade Support Analyst I Supported the Investment Managers in order execution of Fixed Rate Corporate Bonds, Commercial Paper, MTN’s, FRN’s, ABS’s, CLN’s, CB’s, Equity, FX, CDS & various types of Option & Derivative trades. Key areas of focus included:- Trade booking/amendment &.

In my role as AVP Fixed Income Trade Support Manager, I supervised a team of 8 supporting a number of trading desks including Syndicated New Issues, Structured New Issues, High Grade, Emerging Markets, Proprietary, High Yield & Loans, covering products such as Fixed Rate Corporate & Govt Bonds, Commercial Paper, MTN’s, FRN’s, ABS’s, CLN’s Equities, CB’s.

In my role as AVP Middle Office Trade Processing SupervisorI worked with a Team of 7. Key areas of focus included:- Ensure all trades process correctly from front end system (Bloomberg) to back end systems Gloss), constantly reviewing procedure with a view to improving STP figures - Perform numerous inter-system & inter-company reconciliation’s ensuring.