Eamonn Jennings Email & Phone Number

United Kingdom

London, England, United Kingdom

Assisting with client KYC remediation project, in support of the MLROAssisting the MLRO with reviewing of EDD, CDD, KYC & KYB policies and procedures.Conducting timely, accurate and efficient client onboarding. Interpret and analyse AML and KYC data to accurately risk assess new and existing clients, making sound judgement calls in terms of escalation and risk mitigation.Sourcing, implementing and coordinating the delivery of Compliance related training to all staff.

London, England, United Kingdom

Completing AML and KYC due diligence on new and existing clients.Confidently and professionally liaising with internal and external clients/teams to obtain any and all required documentation and information.Conducting relevant screening / PEP checks / adverse media on all clients.Mentoring, guiding and assisting junior team members as and when required.Resolving queries from Clients, Front Office and Compliance, highlighting and escalating issues in a timely manner.

London, England, United Kingdom

Completing Client Due Diligence on new and existing accounts.Performing and recording results of searches and sanction checks.Providing guidance to the Front Office regarding On boarding policies and initiations.Performing periodic reviews of accounts as required by the On boarding policies.Proactively resolve queries received from the Front Office and Compliance team, highlighting and escalating issues in a timely manner.

London, England, United Kingdom

Responsible for performing the day-to-day Anti Money Laundering (AML) Customer Due Diligence (CDD) ans Know your Client (KYC) reviews and controls for new and existing clients.Prepaid and conduct client outreach in an efficient and compliant manner, ensuring a client-centric approach, transparency of the process and that the status of the customer file are provided to the relevant stakeholders.Conducting screening for sanctions, PEPs and adverse media, releasing false positive alerts… Show more Responsible for performing the day-to-day Anti Money Laundering (AML) Customer Due Diligence (CDD) ans Know your Client (KYC) reviews and controls for new and existing clients.Prepaid and conduct client outreach in an efficient and compliant manner, ensuring a client-centric approach, transparency of the process and that the status of the customer file are provided to the relevant stakeholders.Conducting screening for sanctions, PEPs and adverse media, releasing false positive alerts and reviewing and assessing true matches, before escalating to Compliance for further investigation if required. Show less

London, England, United Kingdom

Pivotal in the provision of an unparalled Client Life Cycle / Client On Boarding experience to both external and internal client.Providing excellent monitoring, reviewing and collation of all client documentation.Coordination with Relationship Managers, Assistant RM's and Compliance to guarantee all documentation follows both Waverton's and FCA regulations.Prioritising workloads, ensuring all urgent tasks are successfully resolved.Providing swift, accurate and timely responses… Show more Pivotal in the provision of an unparalled Client Life Cycle / Client On Boarding experience to both external and internal client.Providing excellent monitoring, reviewing and collation of all client documentation.Coordination with Relationship Managers, Assistant RM's and Compliance to guarantee all documentation follows both Waverton's and FCA regulations.Prioritising workloads, ensuring all urgent tasks are successfully resolved.Providing swift, accurate and timely responses to any inquiries or queries from Relationship Managers, Assistant RM's and Compliance.Liaising with colleagues throughout the business to ensure the highest level of Client Service is provided.Providing mentoring, guidance and assistance to junior team members as and when required.Creation of New Clients and Accounts within in-house Apsys and DSA database.Revising existing client accounts within Apsys and DSA. Show less

London, England, United Kingdom

• Providing an excellent service to both External and Internal Clients during their On-Boarding experience. • Reviewing and collation of all client’s documentation.• Liaise with Relationship Managers, Assistant Relationship Managers and Compliance to ensure all documentation follows both UBP and FCA regulations.• Ensure inquiries and queries from Relationship Managers, Assistant Relationship managers and Compliance are dealt with in a timely manner.• Input new client… Show more • Providing an excellent service to both External and Internal Clients during their On-Boarding experience. • Reviewing and collation of all client’s documentation.• Liaise with Relationship Managers, Assistant Relationship Managers and Compliance to ensure all documentation follows both UBP and FCA regulations.• Ensure inquiries and queries from Relationship Managers, Assistant Relationship managers and Compliance are dealt with in a timely manner.• Input new client account data into Secli database.• Updating existing client accounts within Secli.• Preparation of monthly statistics for senior management.• Production and preparation of Daily, Monthly and Quarterly advices, statements and Portfolios. Show less

Canary Wharf

• Assist Global Collateral Management Relationship Managers to provide clients with a professional experience during their On-boarding and Off-boarding business.• Responsible for the entire process of opening Global Liquidity Service accounts, including their maintenance and closure, using the BNYM bespoke online system.• Responsible for maintaining, uploading, and reviewing accounts and contracts in the SharePoint repository, ensuring that documentation is collated in line with EMEA… Show more • Assist Global Collateral Management Relationship Managers to provide clients with a professional experience during their On-boarding and Off-boarding business.• Responsible for the entire process of opening Global Liquidity Service accounts, including their maintenance and closure, using the BNYM bespoke online system.• Responsible for maintaining, uploading, and reviewing accounts and contracts in the SharePoint repository, ensuring that documentation is collated in line with EMEA, UK and US regulations (MIFID II, CASS, CAP, Volker rule, DGSD, CDD, PSDII, ERISA...)• Provide accurate and timely reconciliation of accounts and contracts on a daily and weekly basis.• Liaise with a variety of international teams involved in the process, maintaining excellent communication amongst global On-boarding teams to facilitate the most efficient turnarounds. • Assist with audits, both internal and external, by providing documentation to support the fulfilment of regulatory requirements.• Contribute to the drafting and implementation of departmental policies, and ensuring these are in line with the current global regulations. Show less

London

London, United Kingdom

Trade Settlement Collateral ManagementReturn / recall management Fees and rebate reconciliation & closureReconciliation owners - cash/stockCrest reporting

London, United Kingdom

Scope, Plan, Design, Build Work Flows for the implementation of Back Office and Settlement systems.

London, United Kingdom

• Client take on and on-boarding of high net-worth individuals. KYC and AML.• Assisting front office ensuring client documentation received meets criteria according to FCA regulations and internal processes.• Ensuring correct procedures are followed and adhered to with daily work flow.• Ensuring timely settlement of all Equity Bond Structured/Vanilla products and Unit Trust trades through respective markets.• Investigation and resolution of all non STP… Show more • Client take on and on-boarding of high net-worth individuals. KYC and AML.• Assisting front office ensuring client documentation received meets criteria according to FCA regulations and internal processes.• Ensuring correct procedures are followed and adhered to with daily work flow.• Ensuring timely settlement of all Equity Bond Structured/Vanilla products and Unit Trust trades through respective markets.• Investigation and resolution of all non STP trades.• Reconciliation of both stock and cash positions.• Creating and distributing FCA Transaction Reporting, Broker Exposure and Daily Bargain Reporting.• Confirmation of trades at both Block and Allocation level through CTM and manually if necessary.• Daily liaison with Front Office, Fund Directors and Fund Managers, Client Administration Team, Counterparty Front, Middle and Back office and 3rd Party Custodians to resolve all settlement issues.• Responsible for reviewing and processing documentation for both Corporate and Private Client placings and underwritings.• Maintenance of all client, counterparty and custodian static data and SSI’s• Escalation and risk management of daily functions performed.• Reviewing processes and procedures, implementing improvements, controls, risk and priorities.• Successfully wrote and implemented new procedures for the Settlement Team, for instructions received from custodians, including Class Conversions and MWI. This saved 2-3 man hours a day.• Implementation of processes and procedures to increase STP and decrease manual intervention.Providing knowledge and expertise to assist in resolving issues. Show less

London, United Kingdom

• Ensured timely settlement of bonds, structured and vanilla in the Far East markets of: Singapore, Thailand and Philippines.• Responsible for accurate instructions for value date settlement.Daily liaison with Far East agents and brokers, as well as constant monitoring of settlement process to ensure no buy-ins.

London, United Kingdom

• Co-ordinated the settlement of Russian, Ukrainian, Kazakhstan and Uzbekistan equities through local markets and counterparties and the DCC.• Settlement of ADR and GDR through DTC and Euroclear.• Failed trade investigation and resolution. Daily stock and cash reconciliation.

London, United Kingdom

• Worked out of both London and Moscow office responsible for the settlement of all trades through Euroclear, DTC and Crest.• Responsible for monitoring and reporting of all ADR and GDR’s.• Investigation and resolution of all failed trades, as well as resolving all stock and cash breaks.Reviewed procedures, processes and standards to enhance the performance and service of the back office function.

London, United Kingdom

J M Finn StockbrokersCater Allen InternationalJP Morgan Fleming Asset ManagementCitigroupBNP Paribas Securities ServicesPrudential Bache Various operational, settlement and trade support positions.

London, United Kingdom

• Implemented improvements to settlement processes and procedures.• Settlement of all bought and sold trades through Crest.• Trade confirmation using Global Oasys and Fidessa.• Responsible for monitoring and updating Client Static Data.Liaised with the Compliance Department to ensure regulatory requirements met.

London, United Kingdom

• Settlement of all bought and sold trades, Residual and Crest.• Trialled, tested and reconciled settlement through CGO.• Prior to Crest, contact for the LSE for INS (Institutional Net Settlement).Responsible for the successful winding down of INS settlement.