Michael Pashley Email & Phone Number

Working within the Principal Compliance Team, reviewing processes and policies. Making sure our policies are mapped and kept up-to-date with the FCA rules and regulations. Maintaining governance, risk and compliance frameworks. Helps with the production of internal and external reports. Assisting in projects.

Compliance Monitoring for Appointed RepresentativesSet up, maintenance and distribution of Key Information DocumentsPost Trade SurveillanceAIFMD NotificationsRisk team and monitoring of fund AUMs

Newcastle Upon Tyne, United Kingdom

Compliance Monitoring for Appointed Representatives. Work as part of the Risk Management team and monitor Fund AUMs. Help with issues and breaches as well as AR risk ratings. Prepare and distribute PRIIP KIDs and act as reference point for queries. Prepare and submit various types of AIFMD Notifications to the FCA such as New Fund Under Management, Cessation of Management, Marketing Notifications and Material Changes Support and manage the on-boarding process (KYC/AML checks/credit checks, etc) of new FCA regulated corporate teams and individuals within the financial services industry. Support the compliance team on a variety of client facing compliance projects. Conduct research and prepare documentation in response to client inquiries. Undertake file checking and file reviews Participate in internal compliance training programs as part of continuing learning and development program.

Gateshead

This role involved in-depth knowledge of Know Your Business and Customer Due Diligence procedures as it required full background checks of any businesses that require changes to their bank account information. In this role I was required to contact the customer to check details or clarify the request they were making either by email, letter or phone call. We used a wide variety of systems such as Worldcheck, Experian and Visa Merchant Alert Services. Checks on each customer depended on their circumstances as some customers may have required further Enhanced Due Diligence checks. As an experienced member of the team I regularly stepped up in my manager’s absence and took control of the team. This included providing feedback to colleagues, attending the managers meetings, hosting team huddles and co-operating with other departments. Due to my extensive KYC and CDD knowledge I was also required to deal with queries and complaints from colleagues, customers and other departments.

Gateshead

In this role I opened accounts for businesses that wish to accept credit or debit card payments. Because I was dealing with bank account information I needed to be very thorough, very accurate and have a keen eye for detail. My main roles included credit assessing which involved KYC checks, keying data and proof reading other people’s work. Within my role I also had targets to hit such as productivity targets and accuracy targets, which I regularly achieved. I was also responsible for contacting key stakeholders on a regular basis via e-mail and collaborating with other teams to solve any problems there may have been with applications. I regularly asked my managers for extra responsibilities and was also given the task of keeping the team’s training manuals up-to-date.

Business And Economics, 2:2

Education record