Michael Holmes Email & Phone Number

London, England, United Kingdom

I foster client trust and engagement by addressing queries related to risk, regulatory, investment, or operational matters from the sales team, sub-distributors, and investment managers. I maintain up-to-date information on all regulatory requirements impacting investment funds to ensure compliance across various areas, including offering documents, marketing materials, financial statements, and website disclosures. Additionally, I monitor daily UCITS compliance reporting and portfolio guidelines for all funds and educate investment managers new to UCITS on regulations and restrictions.• Guided all related regulatory requirements for the investment company as an ESG subject matter expert.• Improved transparency and accountability by managing risk and performance client reporting across several funds.• Formulated sales and marketing literature, encompassing due diligence questionnaires, factsheets, presentations, and RFPs to support business development efforts.

London, England, United Kingdom

During this tenure, I tested several trading venues, including Tradeweb and Bloomberg (TSOX, EMSX, FXGO), to ensure seamless integration with the new system. I streamlined operations by liaising with SimCorp consultants, business analysts, test analysts, middle office, Custodian, and other project workstreams, including front office, compliance, data management, operations, and regulatory reporting. I presented daily updates on testing progress to senior executives and leveraged Jira for accurate tracking. I recognised risks during testing and escalated issues to senior management for effective resolution.• Spearheaded project to replace multiple legacy front and middle office software systems with SimCorp Dimension.• Planned and executed end-to-end testing approach with fund administrator, clearing brokers, and other third parties.• Retained as a key project resource after initial project completion to test a system upgrade and mitigate legacy defects, successfully clearing all defects within agreed timeframe.

London

In my previous position, I provided comprehensive oversight for multiple service providers from fund pre-launch, including UCITS compliance reporting, client fund performance reporting, KIID services, risk, and data vendors. I maintained strong relationships with clients and key stakeholders, including investment managers, fund administrators, trustees, depositaries, risk monitoring, legal teams, board of directors, sales teams, third-party distributors, and investors across the USA and Europe. I created KIIDs for new funds, summarising investment policies and risks, and calculating ongoing charges and SRRI in accordance with fund offering documents and budget.• Increased sales force effectiveness by hiring and supervising asset raisers/sales teams and sub-distributors.• Appointed as "Designated Person" for Regulatory Compliance and Fund Risk Management on two umbrella fund companies, presenting at board meetings and contributing to strategic decision-making.• Optimised umbrella fund companies' regulatory compliance by establishing a risk management framework, including risk management policy, risk appetite statement, risk register, and risk committee member.• Completed regulator's thematic review questionnaires within deadlines, demonstrating exceptional attention to detail and understanding of performance fees and liquidity management.• Implemented regulatory updates in fund documents, including a prospectus, supplement, KIID, and business plan by collaborating with funds' legal counsel.

Sydney

Dublin

Cfa Charterholder

Master’S Degree, Political & Public Communications

Bachelor’S Degree, Accounting And Finance, Dkit