Michael Cavanagh Email & Phone Number

London, Gb

London, England, United Kingdom

• Promoting service of excellence by ensuring client expectations are met within a regulatory environment.• Managing an operational team offering guidance, analysis, oversight and challenge on all aspects around operational risk, Key Risk Indicators (KRIs) and governance.• Contract Centre - telephone and written enquires, speaking directly with investors, Wealth managers, intermediaries requesting information around holdings, values, transitions, deceased accounts, ISA, JISA, GIA.• Client on-boarding of new investors together with on-going CDD reviews, AML, KYC due–diligence EMEA, Worldwide and Sanctions reporting using a number of interfaces including world-check, OFCA HM Treasury European Union and United Nations, Control and process of all KYC / AML, FATCA for all investors, Testing across EMEA to adherence to the required regulatory standards. Identify politically exposed person’s (PEPs), Suspicious Transaction reports (STRs), Identify politically exposed person’s (PEP). Maintaining and evolving AML framework and periodic AML reviews. Ensuring compliance with SRA guidelines including advising on any obligations relating to AML and Anti-Bribery standards.• Client services reporting, ensuring KPIs and SLAs are met on a daily basis. Monthly client face-to-face meetings..• Liaise and agree Terms of Business with all IFAs together with review meetings and guidance.• Third party oversight, due diligence, and selection.• Daily first of defense risk oversight reviewing account opening, registration and client service processes.• Internal fraud control ensuring adequate procedures and controls to prevent fraud (both internal and external).• Complaints oversight, review, processing, and trend analyst. Ensuring TCF and within line with policies, procedures and regulatory requirements.• System enhancements, designing and mapping requirements.

London, United Kingdom

• To ensure that daily tasks within the transfer agency are completed in a timely manner, work to tight deadlines on a daily.• Ensuring agreed SLA and contractual deliverable are achieved.• Sending cash flows within the agreed SLA set by the Fund Mangers• Address day to day issues and ensure they are resolved in a timely manner• Building strong relationship with our retail and institutional clients• Ownership and management of the internal and external query mailbox • Maintaining the legal register for each appointed Fund Managers, with dealing and registration of each client.• Client On-boarding (setting up new clients on the system, includes KYC etc).• Dealing (instructions received via various means to buy/sell funds).• Box Management (process of managing the movements in/out of funds).• Stock Transfers (instructions received via various means to move units between holders).• ISA Transfers (in and out to and from external providers).• Monthly Transactions and Holdings reporting (issuance of client’s statements & transactions).• Received and place investor deals into the internal TA system• Process Box Management Form A’s and B’s in a timely manner• Ability to use checklists to ensure all tasks have been completed• Ad hoc tasks when requested• Dealing with Telephone queries where applicable• Handling of ISA applications• Knowledge of AML and KYC requirements for investors• Register and account maintenance

London, United Kingdom

• To act as the primary point of contact for Platform Services related queries from the Management Companies, Platforms and internal parties.• Responsible for maintaining and enhancing services provided to Platforms and our Management Companies.• Ownership, management and resolution of any services queries. • Oversight and coordination of the Service Level Agreements.• Ownership, oversight, reporting and accountability for our performance and results within the monthly league table results.• Identifies and manages resolution of services root causes.• Initiates frequent, proactive communication within the Platforms and Management Companies to verify perceived levels of satisfaction and demonstrate proactive services.• Coordinates/ participates in Service Review Meetings with the key Platforms and clients on a regular basis.• Build and maintain strong relationship with all our internal partners.• Build efficiencies to increase Straight Through Processing dealing and more ‘self-service’ via the Global funds Portal.• Work with the Fund Service Centre Manager to reduce inbound contact volumes from key Distributors.• Champion the Distributor within Northern Trust to benefit of our clients ensuring appropriate awareness and knowledge levels.

London, United Kingdom

• Investigating and amending all trades processed incorrectly for each management company administered in Transfer agency.• Processing of telephone, fax and deals sent from various management companies.• Exposed to OEIC’s, ISA, SICAV and Unit Trust dealing, reconciling sub registers on a daily basis.• Compiling complex reports of trades placed with a specified period, to fund managers and trustees.• Monitoring, intercepting and amending deals placed externally via straight through processing via Calastone, EMX and Swift.• Inputting and quality checking prices received from internal and external fund accounting departments.• Liaising daily with management companies, clients and internal partners maintaining a great working relationship.• Communication and resolution of all queries, dealing, pricing, box notification and general day to day questions.• Assisting a transition of work from London to Bangalore by providing procedures and support on a daily basis.• Providing a close oversight of the box management and dealing team becoming the first point of contact after specified team leaders.

London, United Kingdom

• Completing final box notifications Form A decision and priced fund summaries which are externally within tight deadlines.• Investigating and amending all trades processed incorrectly for each management company administered in Transfer agency.• Processing of telephone, fax and deals sent from various management companies.• Exposed to OEIC’s, ISA, SICAV and Unit Trust dealing, reconciling sub registers on a daily basis.• Compiling complex reports of trades placed with a specified period, to fund managers and trustees.• Monitoring, intercepting and amending deals placed externally via straight through processing via Calastone, EMX and Swift.• Inputting and quality checking prices received from internal and external fund accounting departments.• Liaising daily with management companies, clients and internal partners maintaining a great working relationship.• Communication and resolution of all queries, dealing, pricing, box notification and general day to day questions.• Assisting a transition of work from London to Bangalore by providing procedures and support on a daily basis.• Providing a close oversight of the box management and dealing team becoming the first point of contact after specified team leaders.

Basildon

• As a member of the registration team it was my responsibility to complete my tasks in line with strict corporate and regulatory benchmarks in orders to exceed client expectations.• My success in this role was recognised when I was selected for a 3 week secondment to our office in Mumbai, India, where I was responsible for training a group of colleagues in the settlement and registration processes. As part of this role I was also required to compile accurate procedures and training materials.• Following the completion of my secondment I continued to liaise with our India office to monitor and identify any continuing developments or training requirements.

London, United Kingdom

Postal Dealing Team• Working within the postal dealing team inputting trades and maintaining account details,• Keying in trades received from the call centre and answering any of their account queries. • Contacting agent if there was any discrepancy on the applications received. • Liaising with cash management department to chase for any outstanding debtors.