Experience

Global Shares

• Ireland
• Financial Services
• 400 - 500 Employee

• Compliance Officer

  • May 2022 - Present

  • Advise the Global Shares business on compliance matters related to regulated activities • Manage responses to regulatory questionnaires and ad-hoc enquires • Oversee the compliance monitoring and testing schedule in different jurisdictions and review and evaluate the monitoring process to ensure its effectiveness • Maintain an appropriate compliance policy suite, embed into the organisation and provide training where required • Assist in the complaints review and reporting to the regulator and board • Manage breaches and incidents and support management, the boards in evaluating the incidents and provide support for regulatory reporting • Support internal audit reviews and reporting to the board and assist in embedding a three lines of defence in the organisation • Assist in conflict of interest review, market conduct/market abuse monitoring and best execution monitoring • Advise on the client asset framework and assist in any incidents relating to client assets • Assist the Data Protection Officer in data protection matters relating to policies, data incidents and breaches and the data protection framework implementation • Provide support to the AML framework design and implementation • Advise on MiFID rules and requirements and ESMA and local regulatory client circulars • Provide support to operational procedures implementation and advise on implementation in adherence to policy, regulation and internal organisational rules • Track and monitor regulatory change, undertake horizon scanning and work with the in-house legal team to support regulatory change • Advise on regulatory reporting such as MiFID transaction reporting • Review and monitor GS marketing materials and sales activities to ensure compliance • Provide compliance induction training and deliver compliance training to meet the organisational needs • Ability to identify risk, assess and support the risk management framework and committee in ensuring risks are appropriately managed Show less



Tata Consultancy Services

• India
• IT Services and IT Consulting
• 700 & Above Employee

• Senior Compliance Associate - Tata Consultancy Services

  • Jul 2019 - May 2022

  - Securities Trade Monitoring and Reporting for all Prudential employees in all global business units - Compliance and Personal Securities Trading Policy Reviews and Updates - Monitoring and collaboration of Compliance Monitoring requirements with local business unit compliance officers - Management Reporting to senior management to ensure required tasks or reviews are completed in a timely manner by local business unit compliance teams - Securities Trading Preclearance Violation Monitoring, Reviews and Reporting to Ethics Committee - Compliance Mailbox Monitoring and Responses to all compliance and personal technical securities trading queries from Prudential employees, local business unit compliance teams and management - Training Documentation Creation, Updates and Training Delivery for team members, employees and local business unit compliance teams - BRD + FRD Requirements Elicitation and Documenting for Project for migration to new Personal Securities Trading Monitoring and Compliance Application and Updates - Data Cleansing & Bulk Data Migration Reviews and Updates - Crytocurrency Account Queries and Account Reviews - Discretionary Managed Account and Robo Advisor Account Reviews and Approvals - Trust Account Reviews and Approvals (including Blind, Revocable, Irrevocable Trusts etc) - Enduring and General Power of Attorney Account Reviews and Approvals - Discretionary Account Reviews - Private Placement Reviews and Approvals - Regular Preclearance Reviews and Approvals - Restricted List Security Updates and Maintenance - Employee Attestation/Certification Preparation and Reviews - User Acceptance Testing for all System and Policy Updates - Data Validation (Review, Edit, Update and Validation of Security, Account or Transaction System Errors) - Mutual Fund Holding and Short Swing Profit Review and Reporting - Robotic Process Automation Reviews - Standard Operating Procedure Updates Show less



Acumen and Trust

• Ireland
• Financial Services
• 1 - 100 Employee

• • Jun 2016 - Apr 2019

  Client Management, Administration and Oversight of my own portfolio of;• Occupational pension schemes (Group Pension Schemes), both 'Insured' and 'Full-Service' schemes• Group Life Assurance and Disability Schemes• Group PRSA Schemes• Corporate Health Insurance, Vision and Dental Insurance SchemesFor 'Full Service' pension schemes in particular, the tasks involved would include;• processing of pension scheme payments (in/out), plus contribution increases, decreases and AVCs• updating of daily investment fund unit prices and checking of contract notes for payments• processing of investment switches (either ad hoc or for default investment strategies)• addition of pension scheme new entrants, set up of online access and issue of documentation• processing of pension scheme leavers and preparation and issue of Leaving Service Options.• preparation and calculation of Early or Normal Retirement Options for members, processing of retirement claims, taxation of funds where necessary and issue of payments to retiree.• preparation and issue of Annual Member Benefit Statements• preparation and issue of pension scheme Trustee Annual Reports• review and processing of pension scheme transfer requests (transfers in or out of scheme)• setup of new pension schemes and also pension scheme wind-upsFor both 'Full-Service' and 'Insured' pension schemes, additional tasks would include,• review, management and processing of Pension Adjustment Orders along with Scheme Trustees• review of all requests requiring Trustee signoff with pension scheme Trustees to ensure request is in order and we have received sufficient evidence to support the processing of these requestsFor Group Life Assurance and Disability Schemes, additional tasks would include;• review and processing of either life assurance (death benefit) or disability benefit claims• regular review of risk scheme rates and review of risk rates on market to ensure best rates are provided to client Show less

• • Feb 2015 - Jun 2016

  New Business Support, Administration and Portfolio Support for individual clients. Products involved included:• Executive Pension Plans, Personal Pension Plans, PRSAs, Small Self Admin Pensions (SSAPs) etc• Personal Investments - single and regular premium savings and investment plans• Deposits - fixed term and variable rate deposit accounts• Protection Plans - Mortgage Protection, Fixed Term Protection, Lifelong Protection, Business Protection, Pension ProtectionThe tasks involved in this role included:• Vetting, checking and processing of new business applications to ensure all requirements received and forms fully completed along with checking of documentary evidence of identity, address etc (review of Anti Money Laundering requirements)• Review of client portfolios and preparation of portfolio valuations detailing up to date values for all client plans• Processing of all policy alterations such as single or regular premium top ups, fund switches etc.• Processing of agency transfer or letter of authority requests for new and existing clients.• Updating of all transactions or applications on both the Client Relationship Management System and also the client Portfolio records. Show less



Ark Life Assurance Company Limited

• • Aug 2012 - Nov 2014

  This specialised Complaints & Quality Team was created in August 2012. Following the creation of this team I was subsequently shortlisted, interviewed and appointed as the Team Leader of this new team in February 2013. The main focus of this team was on the following:• Complaints (including FSOB Disputes) & Errors Investigation and Resolution - review (root cause analysis), investigation, resolution and responses to cases related to all Ark Life pensions, savings, investments and protection products• Monitoring of all complaints (including FSOB cases) and errors logged and/or investigated to ensure they are responded to in accordance with the Consumer Protection Code• Monthly complaint and error reporting to senior mgmt team including analysis of complaints root cause and implementation of any corrective actions required• Management of 3 team members, including managing their workload, review of objectives, one-to-one reviews and performance management (bi-annual objective and performance review meetings)• Preparation of Bi-Annual Reports for Complaint Statistics to the Central Bank of Ireland and Annual Reports to the European Insurance and Occupational Pensions Authority (EIOPA)• Updating complaints & errors procedure and governance documentation• Updating of Risk Register with relevant complaint and error cases along with regular meetings with management in all business functions to ensure we have undertaken necessary corrective actions are implemented and any settlement or associated costs to the company are reported accordingly• Work with Quality Assurance, Risk and Compliance functions to ensure that all regulatory and reporting requirements are adhered to• Preparation and implementation of ongoing complaints and error training, procedures and governance for all existing and new Customer Service staff• Management and implementation of the migration of all complaint and error records and complaint & error handling to a third party outsourcing partner Show less

• • Jan 2009 - Aug 2012

  Duties & Responsibilities:In this role I dealt with all types of fund related queries from standard to complex which related to both unit-linked and fixed term tracker funds. I produced maturity support guides to assist the AIB sales force in consultations with customers who had maturing funds and was involved in the manual production of monthly performance data for all unit-linked and fixed term tracker funds. I investigated and responded to fund performance complaints received from customers in relation to their unit-linked or fixed term tracker fund policies.I was involved in the creation and testing of a new web based AIB Fund Centre which provided the AIB sales force with access to detailed fund performance, pricing and fund literature to assist them with Ark Life customer queries regarding their unit-linked policies. This included the creation of fund factsheet and scorecard templates in conjunction with the graphics team and investment managers. I dealt with technical queries regarding non-standard applications for investments using funds under general and enduring powers of attorney, trust funds, compensation payments, estate funds, credit unions, company funds, friendly societies, charities. Show less

• • Mar 2007 - Dec 2008

  When I joined Ark Life I initially worked primarily in the Group Pensions section of the team providing new business quotations for pensions, life cover and permanent health insurance.However, I was still required to assist the AIB Sales Force and other Ark Life staff with technical queries regarding all Ark Life Pensions, Savings, Investments and Protection products.I also helped to support internal administration teams with complex technical queries regarding product terms and conditions or changes to pension or tax legislation. Show less