Paul Docherty Email & Phone Number

United Kingdom

Key Responsibilities:Assist in the design and implementation of AML policy and governanceOversee the GTO/COO divisional regional & country Key Operating Procedures to ensure compliance with KYC control frameworkAdvise AFC colleagues, Compliance and the Business on the interpretation of KYC PoliciesAssist AMLO (MLRO's) in creating local policies to ensure compliance with local regulationsAssist and provide oversight to local AMLO's in the creation of respective AFC Desktop proceduresReview KYC Policy exemptions for exceptions for Asset Managementnt V ggaylleCOGovernance

London, United Kingdom

Responsibilities:• Manage, interpret, monitor and implementation of Corporate and regional AML/KYC policies and procedures and produce strategic plans for implementation.• Liaison with global KYC teams to facilitate the implementation of a strategic AML project.• Working with Corporate Compliance Teams to translate corporate requirements into specific actions and deliverables for the Business.• Liaison with other regional offices to understand their processes and challenges to help shape the implementation of a global solution.• Stakeholder Management and Governance – Communicating with Senior Management and Steering Committees to provide status of issues, developments in change programs.• Lead and coordinate the production of the Annual AML Risk Assessment program for Asset Management.• Liaise and direct Risk Assessment Regional leads on the requirements and deadlines of the Risk Assessment program.• Liaison with other Lines of Business to ensure firm-wide consistency and alignment in approach to Risk Assessment.• Quality Review all regional AML Risk Assessments risk ratings and responses for suitability and accuracy.• Present Risk Assessment findings to all key stakeholders at both regional and Global level: Senior Management (Regional COO’s & CEO’s), Compliance, Risk and Global Head of AML. • Liaise, facilitate and review with Global AML teams and Global Financial Crimes Compliance (GFCC) negative media cases requiring escalation to Regional and Global AML Governance Committees.• Review and globally align procedures in accordance with Corporate requirements on at least an annual basis. • Chair AML meetings with global teams to understand regional issues and look to implement a global approach and provide status on Corporate requirements. • Assist global Internal and External Audit teams on AML reviews

London, United Kingdom

Responsibilities• People Management for 13 Client Account Managers (Associate and VP Level), including specific training, and coaching/ Career development requirements. Lead weekly team meetings and complete Mid Year and Annual Appraisals and adhoc 1-2-1 meetings• Review and oversight of Client Investment Management Agreements/RFP’s. • Ability to review and negotiate Investment Management Agreements with Clients and sign legal documentation on behalf of JPM legal entities.• Key member of Management team deciding departmental strategy and objectives.• Agree departmental initiatives and drivers. Proactively look for efficiencies to improve the service offering and practices employed. • Review and provide authorisation of new account set up and changes to legal documentation within an accounts lifecycle (Investment guidelines, Account restructures). • Proactively be aware of industry changes / departmental issues / initiatives.• Approver status for CAM instructions regarding execution of Cashflows and Transitions.• Lead and manage a number of Change Control Projects and initiatives simultaneously and act as Client services representative in order to voice the needs of the Client in relation to the demands of JPM business initiatives.• Collation and review of departmental metrics and present to Senior Management.• Act as senior client contact for all non-investment decision matters and develop client relationships via meetings/conference calls.• Develop relationships with Relationship Managers located globally.• Lead, present and participate in Client and Consultant presentations on the CAM role.

People Management, including specific training, and coaching/ Career development requirements. Lead weekly team meetings and complete Mid Year and Annual Appraisals for 18 Institutional Client Reporting AnalystsEnsure production of all reporting requirements for client accounts allocated, working to tight daily, weekly, monthly and quarterly deadlines, including in excess of 400 quarterly Investment Reports for Institutional ClientsKey member of Management team deciding Departmental strategy and objectivesPresent to both current and potential Clients/Vendors on the Client Reporting offering and functionality Help to create a more streamlined and organised Department which will allow the department to take on more client reporting requirementsDevelop strong relations with other Departments within Client Services and Investment Management businessWork closely with all members within Client Services to determine opportunities for automationReview Account allocation in the team and balancing workloadReview, agree and monitor Investment Management Agreement Reporting requirementsMonitor One-off queries/requests generated by clients, audit, custodians, consultants and other internal sourcesDealing with RFP requests in respect of Client Reporting requirementsParticipate in the decision making process concerning specific non-standard client performance Review and sign off Quarterly Investment Reports for content and accuracy prior to CPM/Relationship Manager review Organise and host post quarterly review meetings with the Investment Desks/LOB’sProduce and present quarterly statistics to Senior ManagementManage the schedule of reporting deliverables and reach agreement with LOB’s on deadline distribution of reportsOversee the delivery of outsourced accounting functions (Valuations) and monitor against SLA and agreed KPI’s

National Diploma, Management And Business Studies

Education record