James Morton Email & Phone Number

Melbourne, VIC, AU

Melbourne, Victoria, Australia

Melbourne, Victoria, Australia

• Responsibilities include:
• Quality Assurance
• Risk & Controls Review
• Privacy & Data Governance Strategy
• Directing the Mystery Shopping Program
• Risk & Compliance Monthly Management Information

Singapore

• Was part of a project management team of three, running a large budget ($2m) project to prepare the business for the upcoming EU Benchmark Regulations. This meant a change from being a non-regulated Price Reporting.
• Understand and interpret regulatory rules and conduct gap analysis between the requirements and the current business and operating model.
• Conduct detailed scoping analysis to find… Show more Was part of a project management team of three, running a large budget ($2m) project to prepare the business for the upcoming EU Benchmark Regulations. This meant a.
• Conduct detailed scoping analysis to find out which specific Benchmarks apply to which articles of the regulation.
• Conduct exemption analysis to find out which specific Benchmarks can be exempted completely from the regulation.
• Create the BRD (Business Requirements Document) capturing all requirements needed to be fulfilled during the project’s course.

Singapore

• S&P Global Platts: The world's leading Commodity PRA (Price Reporting Agency), reporting prices across the following sectors: Oil, Natural Gas, Coal, Petrochemicals, Metals & Agriculture
• First line of defence risk and compliance function
• Drive change management, culture change and accountability
• Monitor adherence and improve adherence to key controls & IOSCO Standards
• Design control processes
• Focus on continual risk mitigation and process improvement

Singapore

• A large British investment manager (US$70bn) dedicated to the emerging markets. (Products dealt with; FX, Fixed Income, Equities, OTC Derivatives)
• Responsible for the daily processing of transactions through CTM (Omego for fixed income and equities & FXall for all FX) and manual for OTC derivatives
• Ensured smooth workflow process from inception of trade to settlement.
• Liaise with Prime Brokers and other counterparties to resolve issues timely
• Authorised all OTC and NDF… Show more A large British investment manager (US$70bn) dedicated to the emerging markets. (Products dealt with; FX, Fixed Income, Equities, OTC Derivatives)
• Authorised all OTC and NDF legal documents, complying with all current compliance regulations (inc new Dodd-Frank laws) Show less

London Then Singapore

• A UK based hedge fund (Products dealt with; FX, Fixed Income, Equities, Derivatives (Commodity, FX, Equity & Property Indexes (IPD's))
• Responsible for all operations functions
• Set and monitored compliance thresholds and reported breaches
• Ensured smooth workflow process from inception of trade to settlement.
• Liaised with Prime Brokers and other counterparties to resolve issues timely
• Calculated and reconciled P&L

London, United Kingdom

Contract RoleHired to design and implement a reconciliation system across the company’s seven offshore funds. Also responsible for the identification and resolution of all breaks encountered, both current and dated.

Melbourne

Contract RoleResponsible for clearing aged reconciliation breaks. Liaised with both internal and external parties to ensure each break was eliminated correctly. Cleared over 1,000 aged breaks, some up to 16 months old. Brought the breaks to a manageable level and implemented hand-off from the project team to the ops team.

Sydney

Contract RoleResponsible for the equities trade flow process including liaising with the custodian to meet settlement deadlines

Sydney

Contract RoleResponsible for ensuring all cash and stock positions for the assigned accounts are fully reconciled and investigated on a daily basis.

London, United Kingdom

• Reconciling client accounts with prime broker statements and investigating and resolving exceptions;
• Revaluating and pricing client’s portfolio on a day-to-day basis and liaising with the fund accountants to produce a monthly NAV;
• Developing and streamlining procedures to meet clients changing needs;
• Investigating failed trades with settlements contacts;
• Managing collateral movements.

Master Of Business Administration - Mba, High Distinction

Bsc, American Management Science

Business Studies, Mathematics, English Literature