Paul Cassidy Email & Phone Number

Auckland, New Zealand

Key responsibilities:1. Working with a team of analysts and managers to ensure effective risk management and regulatory compliance standards are being met for my portfolio of managed fund clients;2. Engaging with the FMA and other key stakeholders on regulatory matters and ad hoc client issue resolution;3. Conducting risk management, regulatory supervision and relevant on site monitoring activities;4. Reviewing MIS offer and establishment documentation: Trust Deeds; supervisory agreements; SIPO & PDS as well as ad hoc communication and other client documentation.

Auckland, New Zealand

Goalsgetter:Functionality enhancements to retail client risk assessment methodology; investor risk profiling and appropriate investment strategy recommendation;Design and development of retail client Summary of Recommendation documentation.

Auckland, New Zealand

RESPONSIBILITIESPM for 3 projects in the cyber security programme: SIEM, Risk evaluation and Vulnerability management:1. Creating and maintaining project documentation for all projects: roadmaps; risk assessments; project plans & analytics;2. Building and maintaining strong relationships with key project stakeholders, SMEs and team members;3. Collaborating with stakeholders and technical teams to develop an understanding of current state, desired state, and implementing strategies to achieve project deliverables.OUTCOMES:1. SIEM: Reviewed current state, made recommendations in regard to right sizing, enhancing, and supporting the SIEM environment; GAP analysis of current use cases & made recommendations for increased security monitoring; developed implementation plan & detailed financials to support the approval of a major software upgrade.2. Risk Evaluation: engaged with Privacy, Compliance & Risk teams to establish current risk maturity. Presented discovery findings and recommendations to AKLC steering committee; developed a central repository to record, track and manage risk; developed risk policies and guidance documentation; develop a risk awareness campaign.3. Vulnerability Management: obtained understanding of VM current state; defined the VM use cases; conducted a risk assessment and developed a suite of metrics to assist understanding of the risk profile; developed processes for: risk acceptance, out of band patching and identification of out-of-date assets, systems, and software.

Auckland, New Zealand

RESPONSIBILITIES1. Management Consultant: Operational process review:Identifing areas of inefficiency; assigning criticality; recommending and implementing remediation action & enhancements; reporting to senior leadership team (SLT) on progress.2. Project Manager: HR software implementation (BambooHR):Recommending & reviewing potential software solutions for HR; implementing selected provider software; transitioning data from various sources to HR system; rolling out solution across the organisation.3. Project Manager; AML software review & implementation:Reviewing issues with existing software and KYC & CDD processes; making recommendations for improvement; streamlining new client onboarding; integrating APLYID mobile app with incumbent Synaptics AML software; developing roll out plan of ‘AML 2.0’ across the organisation.OUTCOMES:1. SLT accepted the operational review findings, recommendations, and feedback and we undertook the required remedial action to resolve high priority issues;2. Successful implementation of various software solutions; successful integration of new software with existing platforms; grooming and uploading of large datasets. All work was delivered on time and on budget.3. Streamlining the client onboarding / CDD process made a great impression on new clients.

Auckland, New Zealand

RESPONSIBILITIESConcept design and technical development of Nikko’s Goalsgetter platform & algorithm for entry into the NZ KiwiSaver market.1. Developing robo advice retail strategy proposal for local Board and global parent review and approval;2. Developing cost / benefit financial analysis model for global parent review and approval;3. Developing UI sketches for wireframes; developing user journey through the online tool;4. Designing and developing the algorithm calculation methodology;5. Working with external developers & brand advisers to bring the Goalsgetter platform to the NZ market.OUTCOMES:Delivery & successful launch of Nikko AM’s online financial advice tool which has allowed them to capture a share of the KiwiSaver market (~2,000 members & $40m AUM as of 30 Sept 2022).

Auckland, New Zealand

RESPONSIBILITIES1. Providing advice and support to the Deloitte consulting practice in respect of independence, conflicts of interest, client engagement, project risk management and quality assurance;2. Conducting project risk assessments across the consulting project suite; establishing project & service offering risk metrics; recommending mitigation strategies for high-risk engagements; managing risk consultation calls, monitoring emergent issues, and providing guidance and reporting around quality assurance tothe global QRM team.OUTCOMES:1. Ensured global QRM practices standards were achieved to meet global parent review requirements;2. Developed an automated Risk Assessment Tool for the consulting practice; the RAT™ (which is still in use);3. Conducted training and implemented Deloitte QRM practices into acquisition companies (Asparona & Tango)

Auckland

Responsible for all aspects of Risk Management and Compliance for Nikko AM, including:1. Development and socialisation of the ORM Framework: Establishing risk strategy & appetite; risk roles and responsibilities; risk assessment and monitoring tools; risk reporting & insights; operational errors / loss analysis and reporting; communication of key risk issues to the organisation.2. Development of the Compliance Programme:Trade monitoring; drafting and implementing all policy and procedure documentation; PIE eligibility requirements; investment mandate monitoring (pre and post trade); breach rectification; client compliance reporting; marketing material review; offering document review; trustee reporting; regulatory reporting; legislation and regulatory interpretation and application; employee education3. Development of the AML Programme:Business risk assessment; client due diligence; transaction monitoring and ongoing due diligence; AML controls (policies, procedures, record keeping, training, reporting to FMA, engagement of bi-annual auditor).4. Corporate Governance Framework:Companies Office filings; FSPR registration; directors certifications; performed company secretary duties (conflicts register, meeting scheduling, agenda preparation, drafting meeting minutes, follow up of resolution items); maintaining company recordsI was also responsible for reviewing legal documents; engaging external legal counsel, engaging with experts on tax issues.OTHER OUTCOMES:1. Solved a major compliance issue for the global sales team by developing an automated ‘Compliance Sales & Marketing Reference Tool’ for cross border sales approvals, (C-SMART still in use);2. Built various models and analysis tools enhancing process efficiency: PIE Compliance; Fund analytics reporting; Institutional client portfolio compliance monitoring & reporting; Trustee reporting3. Built the CMGR rule suite in Bloomberg AIM, automating client portfolio compliance requirements

Tauranga

Responsible for all aspects of compliance for this investment advisory firm, including;1. Providing guidance to financial advisers on all regulatory and compliance matters2. Developing a compliance monitoring framework;3. Creating and developing a compliance dashboard (obtaining CFO sponsorship, creation of concept model for IT development and UA testing);4. Drafting and finalising company policies and procedures in relation to: AML/CFT, Research, Ethical Walls, Sophisticated Investors etc5. Conducting analysis of offshore clients to ensure compliance with regulations of local jurisdictions (e.g. UK, U.S., Canadian clients)6. Creating and developing a ‘Control Room’ for managing conflicts of interest including the restricted trading list, research note releases, investment banking mandates and directorship disclosures (Excel vba based)7. Creating and developing a trade monitoring model (Excel vba based)

Auckland, New Zealand

Returned to Auckland from London and took a musical hiatus from the investment industry

London, United Kingdom

Operational Risk & daily management of the commodity trading fund of funds, including:1. Managing all aspects of operational risk and compliance for this 600m USD commodity trading fund of funds2. Developing internal procedures and matrices to enhance risk control and early identification of possible issues;3. Delivering monthly US GAAP compliant financial statements;4. Direct reporting to Head of Business Risk, senior management and the Directors;Dealing Team, responsibilities included:1. Co-ordinating and instructing investment trades with portfolio managers across all funds;2. Ensuring compliance with portfolio investment constraints;3. Developing and implementing excel based enhancements for internal processes to reduce trading risk/error and enhance compliance with internal requirements;4. Ensuring portfolios have sufficient liquidity to meet funding obligations

Ba, English & Education, Double Major

Certificate In Investment Management (Fsa Cf21), Investment Management

Bursary

Activities and Societies: Head Prefect 1991

Icp Agile Fundamentals, Agile Project Management