Sam Tomlinson Email & Phone Number

United Kingdom

• Performing the month end finance reporting tasks• Collating and managing resource planning for the team• Ensuring full completion of project status reporting• Maintaining the project portfolio roadmap• Producing required standard presentation documents for portfolio reporting• Providing portfolio office support to the Business Change Team• Effective embedding of the delivery of a new PPM tool• Ensuring escalation of portfolio risks and issues• QA checks to ensure: o RAID logs actively managed, o Project items escalated to portfolio level o Correct project templates used o Ensure all appropriate documentation has been completed in line with the project process and where it has not, an explanation that is satisfactory and noted in the working group and/or Steering group.

• Producing and analysing business requirements to support transition.• Working directly with custodians, registrars, transfer agents and fund managers to enable transfer solutions for liquidating assets, physical certificates, hedge funds and side pockets.• Working with Custodian Bank to ascertain stocks that fall under their low value trading threshold. • Arranging transfers from Custodian to own nominee name in paper format. • Investigating Nil value stocks with liquidators or registrars and accordingly removed as worthless.• Notifying legacy fund managers of business shutdown and closing unused and zero balance accounts.• Supporting project team with data requests and analysis of non standard transferring products.• Clean up initiatives to ensure correct client and custodian balances were fully reconciled.

• Provided support and cover for all Back Office duties for Discretionary and Execution Only clients. This included the processing of Fund, Equity and Bond Income. Liaising with custodians to ensure timely payment and processing. Settlements (UK and overseas), matching trades and releasing to the market via internal and custodian systems. Corp Actions (UK & Global): communicated events to clients via email, letter or telephone, actioned accordingly with the custodians and processed on internal systems.• Ongoing involvement with process and system enhancements including requirements analysis and system testing.• Ensured completion of assigned tasks on a daily and periodic basis, including securities and cash reconciliations, investigation and resolution of queries.• Processed Unit Trust Trail Commission for both Discretionary and Execution Only Platforms. Additional project work included closing out and chasing up outstanding monies due after the RDR process.

• External and internal transfer of client portfolios of stock and cash for Investment Portfolios, including SIPP's and ISA transfers.• Reception and allocation of all portfolio transfers requests received into the team.• Arranging settlement of asset classes including International Bonds and Equities, Physical Certificates, Mutual Funds and Hedge Funds.• Liaison with external counterparties and global custodians to arrange full or partial portfolio transfers.• Liaison with other internal Asset Servicing departments to facilitate transfers processing.• All aspects of transfer settlement to include client transfer processing, stock reconciliation, investigation and escalation of transfer failures.• Updating and maintaining Standard Operating Procedures.• Training of new staff and promotion to senior transfer analyst.• Clean up of legacy platform transfer issues.• Point of contact for implementation of new system (Simcorp Dimension) including the settlement instruction interface. Project work included test packs set up for future upgrades, UAT and regression testing.• New Custodian Project – planning of migration to new custodian; producing and analysing business requirements to support transition to new custodian bank. • Cash ISA Closures project – liaised with portfolio and relationship managers with regards to the closing of customer Cash ISA’s due to the withdrawal of the bank offering this service. • W8Ben project – ensuring that relevant US tax form collected and logged accordingly.• Communicating with customers and third parties to a high standard by letter, telephone, email or in person.