Experience

Multrees Investor Services

• United Kingdom
• Financial Services
• 100 - 200 Employee

• Transfer Analyst

  • Apr 2022 - Present

  Responsibilities: • Responsible for the timely and accurate processing of internal and external client transfers on behalf of their underlying investors • Matching of In-house systems transactions and investigating all discrepancies and inaccuracies. • Liaising with External Fund Managers, Transfer Agents and counterparties and agreeing trade and settlement dates. • Facilitating the booking of Crest and all foreign currency trades and confirming all outgoing and ingoing transfers are settled on agreed date. • Booking transfer expectations on other custodians’ platforms and monitoring end to end transfer process. • Responsible for ensuring procedures associated with monitoring client fund transfers are followed. • Liaising with clients regarding progress on transfers. • Responsible for Unit trust re-registration and transfer. • Processing/transfer of certificated holdings. • Cash and stock Reconciliations resolution. • Coordinating and track stock set up and account opening for transfer purposes. • Maintaining effective controls to mitigate risk and ensure compliance to required processes and procedures. Show less



Bank of New York

• UK Transfer Agent – AML and Financial Crime

  • Jul 2020 - Mar 2022

  Responsibilities: • Responsible for providing oversight services and administration of investors on behalf of wide range of Management Fund Companies • Carrying out complex AML/KYC/CDD/EDD verification checks of various institutional and retail investors with strict adherence to existing AML regulations • Gathering information from independent research and online tools in order to populate risk profiles for new or existing clients • Liaising with Settlement, Dealing and Servicing teams to ensure trading deals are placed and settled in accordance with AML policy • Making referrals to Management Fund Companies regarding complex cases/unusual scenarios • Processing of daily Investment Transaction Monitoring and associated Correspondence • Ensuring that departmental procedures are followed and that operational controls are maintained • Carrying out AML reconciliation reports • Reviewing PEP & Sanction alerts Show less



Aegon

• Financial Services
• 700 & Above Employee

• Back Office Platform Administrator

  • Jul 2019 - Jul 2020

  • Demonstrate knowledge of fund platform function across wide range of pension products • Understanding of the principles of SIPP and Client Money regulations, rules and practices • Processing customer requests coming in through post, email and phone, ensuring the best possible customer experience • Processing fund transfers from external companies on behalf of clients as part of daily trading • Keep up to date with legislative, product and process changes and build valuable relationships with customers whilst helping update their portfolios, wrapper s and bonds and independent financial advisors. • Identify and investigate problems to get to the root cause and take appropriate action to escalate or resolve as appropriate. • Maintain case records to include commentary on actions taken and audit trail of decisions made • Conduct KYC/CDD checks with adherence to strict policies • Conduct AML verification checks • Take ownership of challenging cases where the request can be complex and a high level of customer service is expected with an attention to detail • Ensure targets are met for response times, accuracy, quality and clarity • Liaise with wide range of internal and external stakeholders at all levels including independent financial advisors, external transferring funds companies, various internal teams etc. • Ensure compliance with existing legislation and internal procedures especially with CASS regulations. Show less



JPMorgan Chase & Co.

• United States
• Financial Services
• 700 & Above Employee

• Trade Support Analyst

  • Dec 2017 - May 2019

  • Coordinate process of entitlements for global investor population by identifying and granting investors appropriate system accesses to enable them place trading orders • Coordinate process of identifying and granting appropriate accesses to users within Operations globally • Perform Semi-Annual Entitlements reviews for Investor Population in EMEA, ASIA and LATAM to ensure only appropriate accesses are granted to this user group • Review Operational and Investment entitlements in respect of their functionalities • Support of trade life cycle via investment fund onboarding process with adherence to strict deadlines and company policy • Management of documentation process including creating new and update existing procedures • Produce daily MIS stats and other ad hoc reports and analysis • Respond to ad hoc investor queries and requests regarding accesses or access related issues • Liaise with wide variety of internal and external counterparties at all levels on a daily basis including Fund Houses, Compliance, Business Management, Technical Teams, Investors, Investors Support and many more Show less



Royal Bank of Scotland

• Change Analyst - Points of Presence & Mortgages & Execution and Delivery

  • Apr 2015 - Nov 2017

  • Worked collaboratively within the Design & Transformation teams to plan, organise control and successfully deliver branch refurbishment project• Ensured the use of approved framework standards and governance at all times. Ensured adherence to operational processes, policies and standards• Built and managed relationships with key stakeholders across Services & personal & Business Banking• Escalated any potential brand/reputational risks arising within my area of responsibility• Attended branches to coordinate refurbishment process• Created a Project Board level meeting pack detailing RAID reporting and change request• Managed process of change requests, document compliance, evidence logging on Sharepoint• Produced weekly risk and issues reports• Dealt with other ad hoc tasks Show less

• AML Associate - High Risk Exits/Exits Reclaim

  • May 2013 - Apr 2015

  • Demonstrated a sound decision making to ensure only appropriate payments were released to identified parties• Developed a sound understanding of Money Laundering exits legislation and awareness of prevailing trends• Maintained case records to include commentary on actions taken and audit trail of decisions made• Worked in accordance with existing bank policies and other relevant procedures• Conducted KYC/CDD checks with tight deadlines and adherance to existing policies • Liaised with team members and other teams in efficient and professional manner Show less



Manpower/Royal Bank of Scotland

• Edinburgh, United Kingdom

• AML Associate - AML Financial Sanctions Unit/PEP

  • Jul 2012 - May 2013

  • Managed alerts to ensure potential suspicious activity was reported to law enforcement agencies • Assessed list matches to ensure sanctioned individuals and Politically Exposed Persons (PEPs) were identified and managed to ensure the banks protection from AML and sanctions risks • Ensured that only appropriate alerts were closed as non-suspicious/non-matched • Maintained case records with clear audit trail • Produced succinct reports for law enforcement • Provided support to colleagues as necessary and timely guidance to internal stakeholders Show less



Hudson Global

• United States
• Staffing and Recruiting
• 700 & Above Employee

• Pre-Employment Screening (PES) Coordinator

  • Jun 2010 - Jul 2012

  Carried out Pre-Employment Screening process for the Royal Bank of Scotland (RBS), National Australia Group Bank (NAG), Lloyds Banking Group, Tesco Bank and Standard Life. Responsibilities: • Ensured relevant information was provided by candidates/external companies in accordance with strict PES policy set out by respective client • Carried out/applied on behalf of candidates for various PES checks such as credit checks identity checks, financial sanctions checks, CIFAS and World checks, criminal record checks • Obtained professional references in format outlined in PES policy document • Liaised with internal and external parties on a daily basis • Arranged and conducted in-house meetings with applicants • Resolved PES related and other ad hoc issues in prompt and efficient manner • Delivered efficient solutions to ensure no delays within the PES process • Worked to strict deadlines given by Key Accounts • Coordinated preparations for external audit • Generated contracts for contractors • Liaised with umbrella companies • Liaised with the UK-Contractor Payment Team in terms of processing contracts as well as resolving other contract related issues • Formatted candidates CV’s Show less



Brook Street

• United Kingdom
• Staffing and Recruiting
• 700 & Above Employee

• RBS Account Coordinator

  • Dec 2007 - May 2010

  Responsibilities: • Arranged and conducted in-house meetings with applicants • Arranged meetings with clients at their premises to discuss recruitment needs • Carried out pre-employment screening for successful candidates in accordance with strict RBS policy • Screened candidates CV’s and interviewed them • Prepared candidate work history summaries, • Initiated job advertisements through various job portals • Liaised with internal and external parties on a daily basis • Maintained office diary management and client/candidate database • Carried out payroll on a weekly basis • Provided daily administrative support to the sales team, booked appointments on their behalf • Worked to strict deadlines and timescale Show less



Kelly

• United States
• Staffing and Recruiting
• 700 & Above Employee

• Branch Administrator

  • Oct 2006 - Dec 2007



Citizens Advice Bureau

• Edinburgh, United Kingdom

• Receptionist

  • Aug 2006 - Nov 2006