Providing Regulatory Risk Advisory solutions to the financial services industry.Specialising in MIFID / MAR / EMIR / SFTR / CFTC / SEC / Outsourcing.

Vice President - Corporate and Operations Compliance Advisory (Transaction Reporting)

Compliance Advisor

Regulatory Risk

Working on a busy trading floor supporting the cash and rates Fixed Income sales teams for Real Money clients.Direct support for sales teams including trade booking’s, BBG VCON confirmation, economic trade matching, and BO trade confirmation and settlements.Providing summarised morning research reports for sales teams with updated research from trading and research teams.Effective trade life cycle management. Responsible for accurate and efficient bookings, timely confirmation and… Show more Working on a busy trading floor supporting the cash and rates Fixed Income sales teams for Real Money clients.Direct support for sales teams including trade booking’s, BBG VCON confirmation, economic trade matching, and BO trade confirmation and settlements.Providing summarised morning research reports for sales teams with updated research from trading and research teams.Effective trade life cycle management. Responsible for accurate and efficient bookings, timely confirmation and settlements.Working knowledge of bond pricing, basis point values, modified duration and convexity.Direct contact with external clients guaranteeing excellent service in resolving client queries, such as trade breaks, liaising with FO and BO teams ensuring quick and effective resolution.Responsible for morning and afternoon reports including Crest, Euroclear, DTC, Fedwire and Domestic settlement fails, including OAYS’ fails. Providing analysis and commentary for senior management.Working closely with back office and Legal teams to ensure accurate and clean static data.Responsible for reconciling all internal sales and trading breaks. Responsible for premier client service, working closely with internal Operational Client Service teams for AVIVA, PIMCO and Blackrock, ensuring 1 hour trade allocations and accurate, timely confirmation and settlements. Working knowledge of OAYS’s, Bloomberg, OMGEO,ProjectsWorked closely with IT teams to create detailed reports to show all settlement, confirmation and late allocations of trades. Provided monthly analysis of data to senior management to help communicate issues and help resolve causes.Provided reports and analysis on client queries, the root cause and areas to reduce queries.AchievementsSuccessfully reduced PIMCO, AVIVA and Blackrock allocation times to within the hour of booking.Cleaned PIMCO, AVIVA and Blackrock static data, including OAYS’s acronyms, settlement instructions and confirmations via fax and email. Show less

Supervising the bonds team, ensuring the timely and accurate delivery of client statements.First point of contact for all clients managing timely resolution of all client queries.Acting as a point of reference and support for internal sales teams, Product Control and traders to ensure accurate valuations and excellent client service.Setting up new clients and new valuation statements.Ensuring client information and reporting was accurate and up-to-date.Liaising with clients… Show more Supervising the bonds team, ensuring the timely and accurate delivery of client statements.First point of contact for all clients managing timely resolution of all client queries.Acting as a point of reference and support for internal sales teams, Product Control and traders to ensure accurate valuations and excellent client service.Setting up new clients and new valuation statements.Ensuring client information and reporting was accurate and up-to-date.Liaising with clients and internal sales teams to ensure trades matched with external valuation reports.Instrumental in ensuring incorrectly booked trades were re-booked accurately and timely.First point of contact for premier clients Bluecrest, Insight, CQS and Henderson working closely with Operational Client Services representing CVG in client meetings to ensure excellent service.ProductsOTC Derivatives: CDS, IRS, Equity and Fixed IncomeProjectsFixed Income Project – worked closely with trading and IT teams to improve the automation and accuracy of Bond pricing flows. This involved analysing systems, providing statistics and presenting results and recommendations to senior management. Tested and introduced new reconciliations system Trident to help improve client service, resulting in a 10% reduction in client queries.Macro Spreadsheets - worked closely alongside IT teams to ensure premier clients received accurate Equity valuations in the desired format, where our automated systems failed.AchievementsReduced the number of manual statements by 30% in one year by working closely with clients and sales teams, advising and negotiating.Helped develop sales relationships by extended communication and weekly meetings.Improved the speed and accuracy of Bond valuations through improving processes between CVG and trading desks. Reduced trading work by 15% on month ends. Show less

Managed the Cash and Valuation Team: Ensured cash and valuation were uploaded into accounting systems for clients including UBS, Schroder’s and JPMAM.Strong working knowledge of CDS, IRS, Summit and WINS accounting systems.Projects: Introduced efficiencies, reduced risk and head count through automating processes and improving checklists/procedures. Achieved 99.95% accuracy and 98% timelines per fund. On-boarding: Successfully on-boarded new funds and processes within the… Show more Managed the Cash and Valuation Team: Ensured cash and valuation were uploaded into accounting systems for clients including UBS, Schroder’s and JPMAM.Strong working knowledge of CDS, IRS, Summit and WINS accounting systems.Projects: Introduced efficiencies, reduced risk and head count through automating processes and improving checklists/procedures. Achieved 99.95% accuracy and 98% timelines per fund. On-boarding: Successfully on-boarded new funds and processes within the team.Coordinated client team meetings and conference calls between internal teams to help improve processes.Analysis: Prepared team statistics and data in order to present to senior management, outlining teams’ processes and improving efficiency.Management Skills: Personal management, time management (personal and team), organisation, communication (particularly through meetings and one to one’s), motivation and leadership. Ranked ‘exceeds’ at 2008 year end appraisal. Show less

OTC Derivatives Member of the JPMAM Client Team. Responsible for ensuring the timely and accurate process of OTC Derivative trades into WINS and Summit accounting systems.Acting as a main point of contact to clients regarding confirmations and trade queries.Oversight of trade capture into accounting systems.Trade lifecycle management including payments, terminations and amendments.Reconciliation of trade positions, valuation and cash transactions, including the… Show more OTC Derivatives Member of the JPMAM Client Team. Responsible for ensuring the timely and accurate process of OTC Derivative trades into WINS and Summit accounting systems.Acting as a main point of contact to clients regarding confirmations and trade queries.Oversight of trade capture into accounting systems.Trade lifecycle management including payments, terminations and amendments.Reconciliation of trade positions, valuation and cash transactions, including the investigation and resolution of breaks.Projects: Improved the efficiency and effectiveness of upload and reconciliation processes through the improvement of operating systems. Developing business plans, testing scripts and co-ordinating projects to successfully deliver requirements. Show less

A member of a team providing marketing strategies and consulting to clients such as The Tate Modern and Save the Children. Responsibilities included: Co-ordinating marketing campaigns, reporting on results, analysing data and presenting to clients. Achievements: Successful implementation of tele-marketing strategies, resulting in increased revenue for clients.