Stephanie Clarke Email & Phone Number

Glasgow, Scotland, United Kingdom

Success Manager for Kinsmen Group

Glasgow, Scotland, United Kingdom

I was responsible for providing responses on behalf of the firm, to client audit requests on all aspect of the firms security posture. Topics covered would include:• Encryption Methodologies & Cryptography• Enterprise Data Management• Data Loss Prevention• Information Security & Cyber Security• Logical Access Management• Threat & Vulnerability Management• Systems Configuration• Network Management• Mobile Computing & Cloud Computing• Logging & Monitoring• Change Management• Incident Management• SDLC• General Risk Management, Governance & Compliance• Human Resources & General Ethics• Data Privacy• Business Continuity, Operational Resilience & Disaster RecoveryRunning multiple audits at any one time, each with varying degrees of complexity. Each audit is essentially a miniature project within itself, consisting of external kick-off comm's and internal liaisons with all stakeholders involved across functions.

Glasgow, Scotland, United Kingdom

• Successfully lead the business through the ISO 9001:2015 certification process• Proud to have achieved full ISO 9001:2015 certified status for the company, and maintained certification beyond 1st year surveillance (Cert: FS 698477)• Achieved BSI Certification & qualified as a QMS Internal Auditor (Cert: ENR-00738345)• Conducts regular QMS Auditing to ensure the organisation’s Quality Management System conforms to customer, internal, ISO 9001, and regulatory/legal requirements• Maintains company Risk & Opportunities registers & CAPA Logs• Consistently understands the needs and requirements of both the customer and the company, to develop effective quality control processes• Works to devise and review specifications for products and/or processes• Sets requirements for suppliers and monitors their compliance• Oversees & maintains all procedures to identify deviations from quality standards• Solicits feedback from customers & internal staff, to assess whether requirements are met• Comfortable with producing complex & detailed reporting for wider group consumption and performing statistical analysis with complex data sets• Regularly communicates to top management the performance of the QMS (e.g., results of quality audits, corrective actions), including identified opportunities for improvement via periodic management review meetings• Ensures own personal development by maintaining compliance with standards (ISO, SOC etc), regulations/laws, issues, and news with respect to service quality

Glasgow, United Kingdom

• Manages multiple large-scale projects within the Document and Engineering Information Management (EIMS) industry• Works closely with a diverse international client base • Manages project scope and project risks in accordance with company procedure and project methodology (Agile, Waterfall, Hybrid etc).• Directs project planning, cost estimating, and implementation decisions• Prepares proposals (SOW’s) and related documentation in assistance of seeking new business• Responsible for the creation of customer tailored project schedules, tracks project performance related to schedule, defect resolution, budget, and quality objectives• Regularly communicates project performance to project stakeholders (project team, customers, and management.) • Demonstrates excellent verbal and written communication skills; able to communicate effectively with all employees within the company irrespective of hierarchy, as well as within the customer organisation• Proactively motivates local and remote project teams to ensure morale and productivity remains high• Assists in gathering and documenting project requirements where appropriate• Participates in UAT and various testing activities where appropriate (i.e. Regression testing, smoke testing etc.)• Ensures adherence with company technical and quality standards and any standards associated with the project• Consistently completes tasks on schedule or ahead of schedule and completes tasks within budget.• Evaluates and makes recommendations concerning company procedure• Proactively keeps skills up to date, within the boundaries of departmental budget and time constraints

Glasgow, United Kingdom

• Proactively liaises with new plan managers and counterparties from the initial receipt of Transfer Instructions through to completion• Proficient in arranging all aspects of an in-specie transfer (assets & cash) with new plan managers and third-party entities• Key SME in reconciling internal stock, cash & FOBO breaks (in particular problematic & historic breaks), trade discrepancies and applying appropriate problem-solving analysis in order to identify the logic behind the break & achieve prompt resolution• Well versed in pre-matching and resolving failed trades, including liaising with external third parties, custodians and internal settlement related functions to achieve final settlement• Proficient in drafting external business communications which are appropriate for the intended viewing audience (i.e. client correspondence, external parties and internal groups within the firm) • Utilises experience from roles gained within Barclays (and from previous employers within the industry) and applying this where necessary to resolve current problems within the remit of my role (more specifically around settlements related issues)• Exercises great attention to detail when producing manual handwritten documentation required for settlement (i.e. Stock Transfer Forms, Crest Transfer Forms)• Delivers high quality one-on-one training to new members of the team and making myself an available point of contact for any guidance or assistance with team related tasks• Demonstrates flexibility amongst cross functions, allowing my skills to be utilised across teams where resource requires it whilst also performing my own role & BAU to the highest standard achievable

Glasgow, Scotland, United Kingdom

• Responsible for scrutinising clients share certificates prior to lodging into Barclays accounts.• Inputting lodgement trades against client accounts & manual completion of CREST Transfer Documents, exercising highest level of accuracy and efficiency.• Banking cheques received & payment reconciliations• Issuing client statements & documentation upon request• Regularly liaise with Registrars on various topics from resolving rejected lodgements to registering legal documentation on behalf of clients (i.e. powers of Attorneys, Death Certificates etc).• Monitoring the settlement of CREST certificated lodgements & resolving any discrepancies quickly.• Prioritising workload in accordance with risk• Monitoring and resolving internal breaks and utilising the Barclays escalation model where appropriate• Leading project analyst in new procedural overhaul project, documenting processes for the Lodgements function into a Keystroke format & assisting in the creation of process maps using BControl and Visio.

Edinburgh, United Kingdom

• Key point of contact for client on-boarding staff to liaise with during the on-boarding process• Responsible for obtaining relevant SSI packs (cash and security) from custodians and updating the OMGEO Alert platform with this information• Liaises with Custodians to ensure cash and market accounts are open on custodial accounts prior to trading• Arranges Unit Trust accounts to be opened between the Custodian and Transfer Agents prior to engaging in pooled fund investments• Participates in various initiatives i.e. Migrations from external hosts to Aladdin in-house trading platform, transition of Index Equity funds from Delta (in-house system) to Alert Platform• Co-ordinates time sensitive portfolio maintenance on behalf of Transition Managers and ensures all trade crucial information is in place and authorised before final sign off is given for trading• Maintains all aspects of client accounts once on-boarding has completed (i.e. maintenance of client SSI’s, update of various market specific tax ID’s etc)• Actively seeks out new opportunity to further enhance the Static Data experience within BlackRock by leading projects with “process improvement” being the forefront of our focus

Glasgow, United Kingdom

• Liaised closely with commodities trading desk (Jet, Oil, Bio Diesel, Precious Metals etc) on all aspects of the order from the point of conception through to final settlement of monies• Issued provisional and final invoices on MS Sell orders approaching final settlement date and monitored cash received by counterparts, investigating discrepancies should they arise with both the Scheduler and Counterparty involved• Paid cash funds to counterparts on MS Buy orders, again ensuring any discrepancies in figures were fully resolved and agreed before releasing the cash amount• Manually calculated and agreed all escalation costs relating to Crude Oil products & demurrage costs pertaining to Vessels with the appropriate associated trader• Monitored MS cash suspense accounts and worked diligently to confirm fund portions received related to particular orders, In turn allowing pending failing trades to settle once funds confirmed as received

Glasgow, United Kingdom

• Inputs deal tickets received from front office trading desk into settlement interface (BoNY Mellon) upon agreement with counter-parties via trade confirmations• Responsible for the authorising and verification of trades input by other members of staff before trades are released into the market• Monitors trades released into the market for settlement, applying necessary care and attention to trades of high value (e.g. US Treasury Bills & UK Gilts) and dealt in high risk markets – in particular “Buy In” markets• Liaising with external counter-parties, clearing houses and custodians to assist with the settlement of trades across all clearing platforms (Euroclear / DTC / Domestic / Crest / Fedwire)• Key contact in delivering project objectives for deployment of settlement functions to Chennai, including the streamlining of settlement processes & documenting said processes within standardised procedures and obtaining relevant sign-off from Legal & Compliance and Operational Risk & Compliance• Delivers one-on-one and group training to colleagues arriving from Chennai on functions covered within the Settlements Team to ensure smooth transition of workflow from Glasgow to India. • Works closely with departmental staff and management to help shape the architecture of the team containing retained Glasgow staff and the tasks that will be retained / fulfilled within Glasgow• Worked across global markets daily (EMEA, UK & European, US, Far East & Asian)• Ensures continual personal development by keeping updated with new regulations and procedures• Accountable for providing world class client service to a diverse client base & supporting the Operational function within the settlement & trade support environment

Glasgow, United Kingdom

• Inputs deal tickets received from front office into middle office trade systems in order for settlement to occur• Responsible for ensuring the processing, validating and reporting of all certificated deliveries on a daily basis for various client groups• Liaises with Private Bankers & Fund Managers across the globe on a daily regarding a broad spectrum of topics related to their trade capture• Reconciles journals and internal house accounts including investigating any discrepancies & taking necessary action for solution• Worked across global markets daily (EMEA, UK & European, US, Far East & Asian)• Ensures continual personal development by keeping updated with new regulations and procedures• Accountable for providing world class client service to a diverse client base & supporting the Operational function within the settlement & trade support environment• Strives to meet both personal and team objectives and targets• Promotes and initiates small changes within my own role/remit, ensuring processes are as efficient as possible and that our team is commercially effective

Glasgow, United Kingdom

• Delivered first class trade support to a wide panel of internal traders and external brokers • Liaised with a variety of departmental staff on a global spectrum via telephone & email including most other methods of modern communication• Prioritised workload in accordance to risk, market and importance level• Strived to deliver trade confirmations in an efficient manner and within agreed timescales• Ensured trades are processed from booking through to settlement and in accordance to market & settlement instructions • Worked across global markets daily (EMEA, UK & European, US, Far East & Asian)• Consistent user of industry wide platforms such as Swift, Oasys (Global / CTM), Deal Axis, Omego, Alert• Actively demonstrated flexibility within the workplace In line with market volatility• Consistently worked towards delivering the needs of our clients whilst ensuring deadlines are met• Operated a diverse internal legacy system to administer the general processing of some system trading tasks• Recognised issues at an early age and implements the necessary change to resolve and prevent further problems in future

Glasgow, United Kingdom

• Delivered excellent customer service to financial advisors and policyholders by providing accurate information clearly and concisely on a range of Protection, Critical Illness & some Pension & Annuity products• Liaised with internal departmental staff for administration purposes• Communicated with various GP surgeries, hospitals and external medical companies to obtain information required for underwriting purposes• Proactively took ownership of cases and situations and seen them through to completion• Ensured continual personal development by keeping updated with new regulations and procedures• Handled customer complaints efficiently as they arose, ensuring they were resolved satisfactorily and within agreed legislative timescales

Glasgow, United Kingdom

• Administered & processed a range of life new business protection & critical illness policies• Organised and prioritised workloads to ensure an efficient work rate whilst adhering to service level agreements• Took ownership of a portfolio of clients policies, providing myself as a point of contact for both the policy holder and other internal staff• Proactively obtained relevant information required for underwriting purposes ranging from medical establishments to other third party insurers & advisors• Agreed timescales for completion of work and ensured these are met

Glasgow, United Kingdom

• Dealt effectively with general complaints – both written and verbal• Carried out a range of administration duties including letter writing, updating contracts, filing, faxing and answering calls• Managed remedial engineer’s diaries and scheduled appointments• Regularly liaising with external contracts ensuring deliveries and supplies are ordered and delivered• Ensured electrical certificates and planning permission was completed and dispatched in accordance with compliance and regulations

Highschool Curriculum -, Standard Grade / Higher / Intermediate

Activities and Societies: Debate Team Highschool Band

Education record

Activities and Societies: Primary School Curriculum