Stuart Craig Email & Phone Number

Bournemouth, England, United Kingdom

Bournemouth, England, United Kingdom

• Review and investigate post trade investment compliance monitoring results to ensure funds are in compliance with EU regulation, client’s own investment policies and escalate potential breaches where appropriate.
• Interpret prospectuses and investment mandates to identify relevant restrictions and applicable regulation.
• Creation and oversight of manual investment compliance monitoring where automated checks are not possible.
• Reviewing, recording and maintenance of client… Show more
• Reviewing, recording and maintenance of client breaches until satisfactory resolution.
• Production, review and submission of monthly breach return to the FCA.

Bournemouth, England, United Kingdom

• Conducted internal monitoring reviews of activities and functions in accordance with the compliance monitoring plan, including KYC and PEP due diligence, client money records, fund accounting, investment management.
• Issued reports and findings on areas needing improvement and agreed on implementation of action plans with the business.
• Monitored breaches and complaints to identify risks and control deficiencies.
• Supported the business and MLRO on… Show more
• Supported the business and MLRO on financial crime matters.
• Researched and identified regulatory changes and produced and delivered impact analysis to the business and its delegates.

Bournemouth, United Kingdom

• Primary contact for client relationship.
• Produced and delivered monthly escalation MI and service KPI statistics.
• Responsible for the coordination of the departmental annual review / attestation of standard operating procedures.
• Governance and quality assessment of offshore and onshore report production and potential breaches prior to client delivery.
• Worked with key stakeholders to automate checks on a third party data reporting client – 100 hours of manual checks… Show more
• Worked with key stakeholders to automate checks on a third party data reporting client – 100 hours of manual checks automated to 10 hours per month through coding of rules, review and analysis of test results against.

Bournemouth, United Kingdom

• Performed manual post trade investment restrictions checks and reviewed automated monitoring results.
• Analysed, investigated and escalated any potential breaches of investment objectives, regulations or internal risk limits to the Trustee Management Team.
• Analysed Investment guideline to identify all regulatory and fund specific requirements.
• Produced and delivered monthly escalation and breach MI.
• Chaired monthly service meetings with the UK and Asia Trustees and Client… Show more
• Chaired monthly service meetings with the UK and Asia Trustees and Client Service Teams.

Bournemouth, United Kingdom

• Maintained EMEA client and broker static data in all lending systems.
• Reflected client, broker, asset approvals and restrictions in all lending systems.
• Liaised with trade desk and relationship managers to complete client requests and resolved trading system issues.

Bournemouth, United Kingdom

• Provided advice and sold mortgages, secured loans (residential and commercial), general insurances and life assurances.
• Completed KYC checks, credit referencing and credit scoring checks.
• Mortgage underwriting.

Bournemouth, United Kingdom

• Provided advice and sold pensions, investments, mortgages, general Insurances and life assurances.
• Completed KYC checks, credit referencing and credit scoring checks.

Bournemouth, United Kingdom

• Provided customer advice on mortgage related issues.
• Retained existing mortgage business.
• Identified and produced new sales leads.

Bournemouth, United Kingdom

• General Office administration such as processed daily post, maintained company database, banked fees, instructed valuations, letter writing and general admin support to the sales teams.

Gnvq3 Advanced Business And Finance

Education record