Stephen Bartley Email & Phone Number

Ireland

Newport Beach, California, Us

Newport Beach, California, Us

- Analysing transactions and portfolio holdings with respect to regulatory, client and internal guidelines.- Researching and addressing inquiries related to investment guidelines from the trade floor and other internal/external parties.- Preparing various reports daily to relevant internal groups.- Participating in numerous projects to optimise the trade compliance process. - Investigate potential guideline breaches and liaise with internal and external teams to resolve.

Dublin, County Dublin, Ie

• Review of funds to ensure compliance with regulatory investment restriction and borrowing power limits. (UCITS & AIF) • Assist with review of fund documentation and completing of review programmes in order to ensure appropriate monitoring of funds • Maintain company’s breaches register •Inform/discuss breaches of compliance with clients and answer any queries which may arise. •Upload information to and update the regulatory monitoring system.•Prepare depositary reports for fund board meetings.•Calculate depositary fees for clients and review other fees calculated by fees team.

Boston, Massachusetts, Us

Job Duties and Responsibilities• Assist with review of fund documentation and completing of review programmes in order to ensure appropriate monitoring of funds• Review of funds to ensure compliance with regulatory investment restriction and borrowing power limits• Ensuring breaches are rectified in a timely manner and preparing fund impact statements upon rectification• Maintain company’s breaches register• Assist with testing of compliance monitoring system• Assist with review of distributions paid by funds• Assist with review of the operational departments in order to ensure funds are being administered in accordance with fund documentation/regulations.

Boston, Massachusetts, Us

Job Duties and Responsibilities• Assist with review of fund documentation and completing of review programmes in order to ensure appropriate monitoring of funds• Review of funds to ensure compliance with regulatory investment restriction and borrowing power limits• Ensuring breaches are rectified in a timely manner and preparing fund impact statements upon rectification• Maintain company’s breaches register• Assist with testing of compliance monitoring system• Assist with review of distributions paid by funds• Assist with review of the operational departments in order to ensure funds are being administered in accordance with fund documentation/regulations.

San Francisco, California, Us

• Review corporate governance practices of North American public companies.• Investigate agenda items for the AGM's of said companies.• Generate reports outlining how investors should vote their shares on each item on the agenda

• Prepared material for one on one sessions with history students over a range of topics.• Assisted students with essay writing, research and identifying valuable primary and secondary sources.•Assisted with exam preparation.

• Processed sales on the till. • Assisted customers with any queries they would have.• Clean shop floor and keep in an orderly fashion.

• Attracted people to the club once it was created.• Assisted in training sessions when needed.• Assisted in organising matches both home and away.

Master'S Degree, History

Bachelor'S Degree, History And Philosophy