Jonathan Giffin Email & Phone Number

Halifax, Nova Scotia, Canada

Halifax, Nova Scotia, Canada

In my role as Junior Associate Director:I manage a team of direct reports within Investor Operations who provide transfer agency services to Latin American based hedge funds. Maintain compliance with company/department policies for investor registration, reporting, and cash reconciliation management.Being a point of contact, I address client inquiries while supporting management in addressing escalated queries and concerns from clients, investors, and fund managers.Serve as approver… Show more In my role as Junior Associate Director:I manage a team of direct reports within Investor Operations who provide transfer agency services to Latin American based hedge funds. Maintain compliance with company/department policies for investor registration, reporting, and cash reconciliation management.Being a point of contact, I address client inquiries while supporting management in addressing escalated queries and concerns from clients, investors, and fund managers.Serve as approver for wires that relate to subscriptions, redemptions or vendor payments. I also deliver support to investor operations projects within the team.My key accomplishments include:• Being the subject matter expert for FATCA/CRS. Responsible for coordinating the filings for all funds under group.• Trained and guided team members via one-on-one meetings, performance discussions, and career coaching and development, while delivering annual performance reviews as per company standards. Show less

Halifax, Nova Scotia, Canada

In my role as Senior Investor Services Associate:I oversaw several tasks, including processing investor transactions, collecting/maintaining investor KYC/AML documentation, creating records for new subscriptions/redemptions/transfers, processing redemption requests, and reviewing due diligence for completeness.To ensure completeness and compliance of investor transactions, I focused on internal controls and fund-specific requirements provided by Fund Administrator.For the… Show more In my role as Senior Investor Services Associate:I oversaw several tasks, including processing investor transactions, collecting/maintaining investor KYC/AML documentation, creating records for new subscriptions/redemptions/transfers, processing redemption requests, and reviewing due diligence for completeness.To ensure completeness and compliance of investor transactions, I focused on internal controls and fund-specific requirements provided by Fund Administrator.For the identification and reporting of suspicious activity, I facilitated Money Laundering Reporting Officer.To expedite ad hoc projects, I supported and guided team members.My key accomplishments include:• Investigated and mitigated potential breaches in regulatory guidelines by collaborating with investment managers and banking institutions.• Tracked historical hedge fund and provide equity transactions, while delivering documentation with explanation upon audit request from internal/external auditors. Show less

Halifax, Ns

In my role as FATCA & HRC Analyst:I delivered analysis on FATCA controls and risk monitoring relating to Canadian segments, while managing change of circumstance and status change remediation.I provided support to update information across business units and resolve discrepancies in client information.To facilitate foreign clients, I maintained the flow of information by preparing letters.My key accomplishment includes:• Developed and oversaw remediation of FATCA and CRS… Show more In my role as FATCA & HRC Analyst:I delivered analysis on FATCA controls and risk monitoring relating to Canadian segments, while managing change of circumstance and status change remediation.I provided support to update information across business units and resolve discrepancies in client information.To facilitate foreign clients, I maintained the flow of information by preparing letters.My key accomplishment includes:• Developed and oversaw remediation of FATCA and CRS pre-existing reports along with annual reporting readiness. Show less

Halifax, Canada

In my role as Operations Specialist:To administer mutual and alternative fund trading documentation requirements, I engaged with client relationship officer.For adjustment of improper pricing of securities, I liaised with pricing vendors.I also guided the custodian on mutual and alternative fund subscriptions, redemptions, transfers, and corporate actions while updating the custodian's electronic platform and bank's asset management platform with client's trading activity.For… Show more In my role as Operations Specialist:To administer mutual and alternative fund trading documentation requirements, I engaged with client relationship officer.For adjustment of improper pricing of securities, I liaised with pricing vendors.I also guided the custodian on mutual and alternative fund subscriptions, redemptions, transfers, and corporate actions while updating the custodian's electronic platform and bank's asset management platform with client's trading activity.For the fulfillment of audit confirmations, I interacted with custodians.My key accomplishments include:• Produced daily pricing with 5% tolerance and missing price reports ensuring accurate valuation in all portfolios.• Identified and resolved queries of funds and supplies information regarding funds, prices, and dealing procedures. Show less

Halifax, Canada Area

In my role as Senior Quality Control Analyst:I supported Team Lead with approvals QA tasks, and questions support.To ensure fulfillment of bank policy and regulatory requirements for ongoing account monitoring (OGAM), I reviewed alerts regarding customer accounts and transactions.My key accomplishment includes:• Determined achievement of bank's minimum requirements and need for KYC due diligence in waivers.

Halifax, Nova Scotia, Canada

In my role as Team Lead for Remediation Project:I was promoted to Team Leader for duration of project, while training new AML hires on bank's due diligence procedures and regulatory mandates.I led a team of 10 analysts and verified/approved team's assignments with focus on policy and regulatory compliance.My key accomplishment includes:• Planned and initiated KYC due diligence along with risk rating of customer accounts recommending high-risk account monitoring.

Halifax, Canada Area

In my role as Fund Accountant:I coordinated valuing portfolios by ensuring accuracy of funds trades, cash transactions, and corporate actions, while verifying securities prices.