Patrick Rice Email & Phone Number

Belfast, Northern Ireland, United Kingdom

Belfast, Northern Ireland, United Kingdom

As a FinTrU Associate, I've graduated from a bespoke FinTrU Financial Services Academy that comprised of training in financial markets, regulation, data analysis and project management. I have also completed further internal training to help develop my leadership and management skills.I have completed the following 4 IOC exams to achieve the CISI Level 3 IOC+ qualification (Extended Certificate in Investment Operations), with a focus on financial compliance:• Introduction to Securities and Investment• UK Financial Regulation• Global Financial Compliance• Client Money & AssetsI have also passed the CISI UK Regulation & Professional Integrity exam.Project ExperienceConduct Risk Attestations; Global Investment Bank (Oct 18 – Present)• Compilation of monthly and quarterly review packs for multiple business units across EMEA and APAC to be presented to the relevant business areas, Conduct Risk Committee, Operating Committee and the Board• Collection of raw data, data cleansing, and the generation of MI metrics• Communication with senior managers and business heads across EMEA and APAC to compile data and distribute the reportsCompliance Reviews: Global Investment Bank (Oct 18 - Present)• Perform a combination of Compliance Monitoring and Testing activities, aiming to independently evaluate controls and identify potential compliance violations, collaborating with colleagues across EMEA and APAC• Perform periodic Testing reviews, with detail similar to that of an Audit. These are designed to assess the operating effectiveness of compliance controls and/or adherence to policies and procedures• Compliance Reviews encompass the following; CASS Reviews, Transaction Reporting Reviews, Desk Reviews, Market Soundings and Allocations Reviews, Branch Reviews and Thematic ReviewsI also have experience in supporting the Trade Surveillance team and in assisting our client in a third party review into Conduct and Culture at the firm.

Belfast, United Kingdom

Belfast, United Kingdom