To assist COO in the management and co-ordination of all middle office processes including performing and monitoring Unit Pricing Validation and Derivative Overlay procedures. Act as conduit for operational activities that require middle office intervention by the Trustee.Responsible for:- Ensuring adequate risk mitigation framework is in place for all operation related activities.- Driving process reviews, workshops and operational roll out.- Escalating any issues appropriately… Show more To assist COO in the management and co-ordination of all middle office processes including performing and monitoring Unit Pricing Validation and Derivative Overlay procedures. Act as conduit for operational activities that require middle office intervention by the Trustee.Responsible for:- Ensuring adequate risk mitigation framework is in place for all operation related activities.- Driving process reviews, workshops and operational roll out.- Escalating any issues appropriately to the COO.- Completing ACRM and Board papers when required.- Managing relationships with key stakeholders from an operations perspective.- Ensuring Team is updated with all applicable LGS business developments.- Assisting/ providing input and support with all Projects where there is an Investment Operations impact/business requirement.- Promoting the implementation of Technology led improvements.- Ensuring all investment related transitions are completed as per the CIO’s requirements.- Providing oversight of all tax issues raised by tax advisors.- Reviewing all tax engagement letters/reports from Ernst and Young. - Reviewing all operations specific engagement letters/reports from external Auditors.- Ensuring all required audit data is provided to external Auditors in a timely and accurate manner.- Demonstrating strong and fair leadership and provide direction to the Investment Operations Team.- Ensuring Team members have a structured and consistent development strategy in place (objectives, expected outcomes) and provide coaching to help attain these goals.- Conducting regular one to ones with Team Members.- Conducting half yearly performance reviews for direct reports. Show less

Bridge is a Professional services business specialising in the provision of strategic advice and implementation. Bridge was formed through the merger of Shoreline Pty Ltd and Intelligentsia Consulting Pty Ltd on 1st July 2012.

Responsible for:- Leading identification and gaining agreement of process improvement initiatives – with particular focus on reducing trade processing cycle times and risk reduction whilst improving operational efficiency - in line with Lean Six Sigma methods and objectives. The majority of Projects focussed on increasing the Trade matching rate. In order to identify and drive Projects needed a full understanding and awareness of the trade life cycle. Both in this role and as Settlements… Show more Responsible for:- Leading identification and gaining agreement of process improvement initiatives – with particular focus on reducing trade processing cycle times and risk reduction whilst improving operational efficiency - in line with Lean Six Sigma methods and objectives. The majority of Projects focussed on increasing the Trade matching rate. In order to identify and drive Projects needed a full understanding and awareness of the trade life cycle. Both in this role and as Settlements Manager, I needed a full working knowledge of ALERT/ OMGEO CTM/Bloomberg in addition to understanding all SWIFT and Market compliant/compatible SSI requirements.- Managing budgets and regularly tracking costs as part of project status reporting.- Planning and documenting detail of each initiative using the ACE – Lean Six Sigma best practice to ensure project delivery.- Owning and Managing the full project lifecycle from initial requirements definition to implementation.- Clarifying Project objectives to Clients in order to achieve their buy in and co-operation.- Co-ordinating and supervising working groups for each Project undertaken.- Organising and managing Project Meetings, reporting and Governance.- Supporting and managing 2 day “ACE” Course attendees with their respective Projects.- Supporting the roll out of the “ACE” Programme in the UK.- Main outcomes of completed Projects – 2 FTE saving (across 50), higher rate of STP and cleansed static data in Tradeflow. Show less

The main purpose of my visit to the Chennai Office was to determine the most effective model for the Claims investigation process going forward by assessing the quality of service in Chennai following the outsourcing of the function in 2010. Focus had been increasing on the Claim investigation process following an upwards trend in the number of outstanding claims and increased focus from our institutional Clients. In respect of this pressing issue, I produced a detailed strategic document that… Show more The main purpose of my visit to the Chennai Office was to determine the most effective model for the Claims investigation process going forward by assessing the quality of service in Chennai following the outsourcing of the function in 2010. Focus had been increasing on the Claim investigation process following an upwards trend in the number of outstanding claims and increased focus from our institutional Clients. In respect of this pressing issue, I produced a detailed strategic document that outlined and detailed my Operational plan.The Monitoring and review period of 49 Competencies was timetabled for 4 weeks, however as this was completed in 3 weeks, an extension to my visit was granted in order for some of my more urgent recommendations (highlighted from the monitor stage) to be implemented. I performed a number of classroom training exercises with the Team on the end to end trade process cycle, with particular focus on why and how trades do not match/settle and what the differing outcomes are.My recommendation implementation plan was published which detailed the main findings, recommendations/ongoing action plans along with their respective Success Measurements.The final part of the process was to assess the Oversight function in Glasgow which resulted in the implementation of an amended Operating structure for the Claims investigation Process.Despite the sensitivity of the visit and the high visibility surrounding it, due to the collaborative and pro-active approach taken, it has resulted in a far more efficient and controlled Operating structure which has now ultimately led to an ongoing downwards trend in the number of outstanding claims which has duly been recognised by our institutional Clients.As part of my aim to foster closing working relationships between the UK Offices and Chennai, I held a number of presentations to Senior Management and all Trade Processing staff, focusing on the culture and demographics of the Chennai Office. Show less

Responsible for:- Management of a team of thirteen Staff with further responsibility for Staff training and development.- Managing Daily allocation of workflow within team through Team Leaders and Senior staff members.- Regularly provided support and assistance to FM Clients/Brokers/Custodians and other Operational Teams (FX, Static data, Corporate Actions etc) directly with Matching or Settlement issues/queries. I was the escalation point of contact for all the above… Show more Responsible for:- Management of a team of thirteen Staff with further responsibility for Staff training and development.- Managing Daily allocation of workflow within team through Team Leaders and Senior staff members.- Regularly provided support and assistance to FM Clients/Brokers/Custodians and other Operational Teams (FX, Static data, Corporate Actions etc) directly with Matching or Settlement issues/queries. I was the escalation point of contact for all the above parties.- Proactively driving Process changes and system enhancements.- Creating an environment of responsible freedom for people to be empowered to do their best whilst strengthening a “can-do” culture within the Team.- Reducing costs and errors (achieved 70% reduction in costs averaged over 2 years).- Internal/External audit compliance and preparation.- Operational Risk Assessment – Governance Reviews.- Designing and recommending new Control Processes with the aim of minimising Market, Operational and Reputational risk.- Reviewing of all Business Critical Procedures and Controls.- Monitoring of Key Performance Indicators and ensuring targets met. Had monthly meetings with FM Clients to explain KPI performance and associated underlying trends.- Completion of all Reporting requirements. Had weekly meetings with FM Clients to go through all current failing trades and cash/stock rec items, explaining historical course of action and strategy to be taken to resolve failed trades/clear rec items. - Reviewing and adhering to Institutional client specific SLA’s. Would discuss directly with FM Clients any requested amendments and justify approach accordingly.- Project Management and delegation.- Providing Support to Direct Manager.- Strategic planning for the development of staff.- Completion of Staff Performance Appraisals.- Recruitment Responsibilities.- Monitoring Staff Headcount Requirements.- Review of Staff Remuneration.- Adhering to budgetary targets. Show less

Responsible for:- Management of a team of Twenty Staff.- Managing Daily allocation of workflow within team through Team Leaders and Senior staff members.- Audit Compliance.- Operational Risk Assessment.- Review of all Business Critical Procedures.- Monitoring of Key Performance Indicators and ensuring targets met.- Designing and recommending new Control Processes.- Completion of all Reporting requirements.- Review and adherence to client specific… Show more Responsible for:- Management of a team of Twenty Staff.- Managing Daily allocation of workflow within team through Team Leaders and Senior staff members.- Audit Compliance.- Operational Risk Assessment.- Review of all Business Critical Procedures.- Monitoring of Key Performance Indicators and ensuring targets met.- Designing and recommending new Control Processes.- Completion of all Reporting requirements.- Review and adherence to client specific SLA’s.- Inter departmental business and external client relationship Management.- Strategic planning for the development of staff.- Completion of Staff Performance Appraisals.- Recruitment Responsibilities.- Monitoring Staff Headcount Requirements and reviewing Staff remuneration. Show less

Responsible for:- Management of a Team of Nine Staff. - Assisting Team Manager with Tasks assigned. - Validating Trade and Payment instructions.- Review and clearance of Cash and Asset reconciliation items.- Building and Improvement of Templates used for Daily Trading Functions.- Successfully implementing Key Performance Indicators.- Improving Operational Efficiencies within Team.- Recruitment Responsibilities.- Responsible for Cross Training Programme in… Show more Responsible for:- Management of a Team of Nine Staff. - Assisting Team Manager with Tasks assigned. - Validating Trade and Payment instructions.- Review and clearance of Cash and Asset reconciliation items.- Building and Improvement of Templates used for Daily Trading Functions.- Successfully implementing Key Performance Indicators.- Improving Operational Efficiencies within Team.- Recruitment Responsibilities.- Responsible for Cross Training Programme in Team. Show less

- Collated and Quantified Business requirements in regards to roll out of new system.- Worked full time with Product Vendor to ensure software met Business requirements.- Lead the Project from a Business user perspective.- Updated Management regularly with project updates.- Designed and wrote Process maps and Procedures.- Designed Risk matrices.- Worked closely with Operational Risk to ensure Compliance with new system.- Contributed to new Business process… Show more - Collated and Quantified Business requirements in regards to roll out of new system.- Worked full time with Product Vendor to ensure software met Business requirements.- Lead the Project from a Business user perspective.- Updated Management regularly with project updates.- Designed and wrote Process maps and Procedures.- Designed Risk matrices.- Worked closely with Operational Risk to ensure Compliance with new system.- Contributed to new Business process flows.- Prioritised business user requirements.- Wrote test scripts.- Organised and collated test results and data.- Assisted in successfully implementing Project into Operational environment.- Took active role in Market Practice meetings.- Built agreements and relationships with external parties. Show less

Responsible for:- Preparation of daily trade instructions for applications/redemptions in Managed Investment Funds.- Processing In-Specie transfer requests through Chess (listed equities). - Collating data such as Distributions and Fee Rebates on a monthly basis and ensuring they are processed in a timely manner by the relevant team.- Checking and verification of all Instructions sent internally/externally.

Responsible for: - Ensuring all domestic and foreign equity trades are settled adequately.- Repairing SWIFT messages in order to improve STP to Hiport and CITIBANK.- Monitoring and solving all settlement fail queries from Investment Manager Support for foreign equity/FI trades/FX trades.- Cross training with Treasury and Derivatives teams for issues regarding cash movements.- Processing equity trades and settlements covering Hong Kong, Singapore, Thailand, Australia, North… Show more Responsible for: - Ensuring all domestic and foreign equity trades are settled adequately.- Repairing SWIFT messages in order to improve STP to Hiport and CITIBANK.- Monitoring and solving all settlement fail queries from Investment Manager Support for foreign equity/FI trades/FX trades.- Cross training with Treasury and Derivatives teams for issues regarding cash movements.- Processing equity trades and settlements covering Hong Kong, Singapore, Thailand, Australia, North America and Europe. Show less

Responsible for: - Conducting Portfolio Management and Reviews; additionally involving a high volume of research on a whole range of investments (UK and foreign equities, bonds, gilts, investment trusts etc) in order to suit clients’ investment needs and maximise the returns from the portfolio.- Dealing for clients on a discretionary/advisory/execution only basis.- Calculating Capital Gains Tax for new/existing clients.- Formulating and calculating Probate valuations for… Show more Responsible for: - Conducting Portfolio Management and Reviews; additionally involving a high volume of research on a whole range of investments (UK and foreign equities, bonds, gilts, investment trusts etc) in order to suit clients’ investment needs and maximise the returns from the portfolio.- Dealing for clients on a discretionary/advisory/execution only basis.- Calculating Capital Gains Tax for new/existing clients.- Formulating and calculating Probate valuations for deceased clients.- Providing commentary on investments, disposals and price movements, with comparisons to appropriate indices.- Day-to-day communication with accountants/solicitors/dealers on behalf of clients. Show less