Ellie O’Connor
Embedded Control Manager at The Marlborough Group- Claim this Profile
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Bio
Credentials
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Client Money & Assets
The Chartered Institute for Securities & Investment (The CISI)Jun, 2022- Nov, 2024 -
Level 3 Certificate in Investment Operations
The Chartered Institute for Securities & Investment (The CISI)Dec, 2019- Nov, 2024 -
FA1 Life Office Administration
City & GuildsDec, 2018- Nov, 2024 -
CII CF1 UK Financial Services, Regulations & Ethics
City & GuildsJul, 2018- Nov, 2024
Experience
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Marlborough
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United Kingdom
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Investment Management
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100 - 200 Employee
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Embedded Control Manager
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Jan 2023 - Present
-Ensuring compliance to CASS including managing the Resolution Pack & CMAR submission -Facilitating engagements; internal & external audits, compliance monitoring-Reviewing Operational risk events including escalating where appropriate -Enhancing Operational controls and procedures-Producing MI for Senior Management
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Deputy Head of Dealing & Registration
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Apr 2021 - Jan 2023
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Senior Financial Administator
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Oct 2019 - Mar 2021
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Financial Administrator
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Jan 2019 - Oct 2019
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Apprentice Administator
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Jul 2017 - Jan 2019
Apprenticeship completed with Babington Group. Programme: Financial Administration Level 3. While completing my apprenticeship, I was awarded North West Employee Engagement Group (NWEEG) Awesome Apprentice of the Year.
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Lloyds Banking Group
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United Kingdom
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Financial Services
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700 & Above Employee
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Customer Service Assistant
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Aug 2016 - Jul 2017
Providing excellent service to customers who come into the branch. Deal with all queries and transactions of customers accounts while maintaining a high level of knowledge to rules and regulations. While working at Lloyd’s, I won an award which recognised the high level of customer service I was delivering to customers. Providing excellent service to customers who come into the branch. Deal with all queries and transactions of customers accounts while maintaining a high level of knowledge to rules and regulations. While working at Lloyd’s, I won an award which recognised the high level of customer service I was delivering to customers.
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