Nicholas Tantis
Principal, Head of Compliance Advisory at FINCAP Advisers Limited- Claim this Profile
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English Native or bilingual proficiency
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Cypriot Native or bilingual proficiency
Topline Score
Bio
Credentials
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AML Certificate
CySEC - Cyprus Securities and Exchange CommissionMar, 2023- Nov, 2024 -
Advanced Certificate
CySEC - Cyprus Securities and Exchange Commission
Experience
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FINCAP Advisers Limited
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Cyprus
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Financial Services
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1 - 100 Employee
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Principal, Head of Compliance Advisory
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Apr 2023 - Present
FINCAP Advisers Ltd aims to offer turnkey tailored services to regulated entities in an open architecture format offering licensing and post-licensing services across all renowned jurisdictions. Compliance support solutions range from outsourced compliance support CF10/CF11 (FCA) and AML Compliance / Compliance (CySEC) to consulting services to EU and non-EU regulated entities enabling them to manage their compliance mandate. Frameworks, legislations and best practices supported include MiFID I & II, REMIT, MAR, FATCA, CRS, AIFMD, UCITS I-V, Basel II & III, EMIR, PSD I & II, 4th AML Directive, FATF policies, UK Anti-Bribery Act and the UK Corporate Governance Code. Show less
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Hellenic Bank
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Cyprus
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Financial Services
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700 & Above Employee
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Manager, Wealth & Custody Operations (formerly Trust & Custodian Services)
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Feb 2016 - Dec 2022
Lead safeguarding of financial assets, including stocks, bonds and precious metals, minimising risk of misuse, theft or loss. Oversaw transaction settlement and overall servicing of client assets incl. income collection, corp. actions processing and tax. • Orchestrated identification and rectification of operational as well as regulatory compliance risks. Escalated issues to Bank’s Board Risk Management Committee and Board of Directors, presenting a feasible roadmap for targeted improvements in infrastructure (systems / procedures) and implementing a leaner horizontal organisational structure optimizing workflows and increasing efficiencies. • Led unit expansion into the provision of Depositary services within the AIFMD Regulatory Framework, reviewing & executing legal documentation, drafting operational procedures and heading project for evaluation and implementation of new systems catering for expanded Depositary needs (cash flow monitoring, safekeeping & record keeping and oversight of certain operational functions incl. NAV calculation, investment restrictions etc.) Show less
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Senior Officer, Portfolio Management
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Oct 2015 - Feb 2016
Provided discretionary fund management of various investment portfolios with total assets exceeding €25M, ensuring compliance with investment guidelines.• Propelled performance in excess of benchmark indices via low volatility investments and prudent macro-based investment policies.• Realised aggressive investment goals having traded securities and other types of assets.
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Senior Officer, Investment Banking
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Jul 2014 - Oct 2015
Part of a small team of skilled professionals within a high-pressure environment, adhering to aggressive deadlines for drafting Banks Prospectus and Supplement for share capital increase of up to €221M in form of a subscription rights issue.• Led correspondence with the Cyprus Securities and Exchange Commission (‘CySEC’) as approving authority for the Bank’s Prospectus for conclusion of share capital increase, resulting in Bank’s recapitalisation raising of €204M.• Played key roles in high-level meetings (attended by Board Members, local / foreign legal consultants, and joint placement agents), representing HBI as ‘Underwriter responsible for drafting Prospectus.’ Show less
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Senior Officer, Investment Advisory
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Feb 2011 - Jun 2014
Delivered investment advisory focused on local provident and pension funds with total assets under advisory management in excess of €273M.• Collaborated with clients’ Investment Committees, advising on portfolio synthesis, drafting / revising investment policy statements, presenting briefings on economic outlook, highlighting risks and collaborating in AGMs.
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Hellenic Bank
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Cyprus
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Financial Services
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700 & Above Employee
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Business Development, Intl. Business Centre & Strategic Development, Intl. Bus. Division
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Jan 2010 - Jan 2011
Cultivated business relationships with law firms, accountancy offices and corporate service providers. Evaluated new relationships and encouraged higher levels of collaboration.• Grew client base by 12% by attracting new clients while setting the vision for the creation of the Bank’s specialised shipping unit in Limassol, a first in Cyprus.
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Head, Kyiv Representative Office
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Jan 2008 - Jan 2010
Spearheaded start-up and successful registration of Bank’s representative office in Kyiv, Ukraine – including office space selection as well as negotiation of rental agreements and overall office set-up.• Built a small team of talented local staff via strategic recruitment, training and evaluation.• Represented Bank’s interests in Ukraine, participating in trade forums and international business conferences in addition to monitoring competitors strategic moves and evaluating products / services offered. Show less
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MiFID Compliance Officer (temporary transfer from Hellenic Bank Treasury Division)
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Sep 2007 - Jan 2008
Teamed with Legal Department in roadmap development for successful MiFID implementation within HB Group.• Drafted MiFID related documents, including Conflicts of Interest and General Order Execution policies.• Prepared and delivered presentations and informative material to Division Managers.
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Assistant Manager, Private Banking Advisor (temporary transfer from HB Treasury Division)
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Mar 2007 - Aug 2007
Selected by HB General Manager to temporarily take over Private Banking Unit following departure of key managerial staff – ensuring smooth and uninterrupted transition to new manager.• Trained and supported new staff and manager as well as streamlined execution and settlement service.• Consulted with clients to analyse and delineate their requirements and promote appropriately tailored solutions.
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FX Dealer, Money Market Trader
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Jun 2002 - Mar 2007
Strategically managed Bank’s money market book, trebling approved list of counterparties and effectively diversifying country and counterparty specific risk.• Invested in money market instruments, including short maturity deposits, certificates of deposits and commercial paper.• Designed, structured and priced financial solutions for investment and hedging.• Spot foreign exchange, forwards and option pricing for large local and foreign corporates.• Monitored and closed Bank’s foreign exchange exposure resulting from client’s currency conversions.• Commended by General Manager for successfully completing temporary appointments in Private Banking Department and MiFID project implementation. Show less
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First Union National Bank
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Banking
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1 - 100 Employee
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Money Market Trader / Currency Risk Management
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2000 - May 2002
Provided tailored risk management solutions for large corporates facing currency & interest rate risk, oversaw the Banks overnight funding gap during London trading hours adhering to country and CCR, provided liquidity and pricing to Corp. Desk for Foreign Exchange, FX forwards & FX Swaps. Provided tailored risk management solutions for large corporates facing currency & interest rate risk, oversaw the Banks overnight funding gap during London trading hours adhering to country and CCR, provided liquidity and pricing to Corp. Desk for Foreign Exchange, FX forwards & FX Swaps.
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Education
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1999 - 2000
ICMA Centre - Henley Business School
MSc - International Securities Investment Banking, DISTINCTION -
2006 - 2007
IBS, Cyprus
Bank Operations Diploma, American Bankers Association -
1996 - 1999
The University of Reading
BA, Accounting and Economics -
The Grammar School - Limassol, Cyprus
Community
