Walsall, England, United Kingdom
Risk I Data | Governance I Regulations I Analysis
Provide governance oversight and control monitoring across the bank’s global network of external entities. Conduct account recertifications ensuring compliance with CASS and MiFID II regulations. Risk Analysis of operational data and producing management information and reporting for senior stakeholders. Managed and successfully completed External Audit with EY by deadline with positive audit score.
Support Investment processes and strategic operational change projects within Investment Operations. Subject Matter Expert for the Morningstar system, liaising with external vendors. Operational risk mitigation through monitoring of investment data and reconciliations. Assisted with business migrations and onboarding projects across multiple investment products.
Managed corporate actions processes and stock reconciliation including process review and development. Working with the business to deliver operations requirements and evaluating impact of regulatory and governance requirements. Evaluation of risk exposures and prioritisation of resolutions. First level of escalation for members of the Reconciliation and Dividends teams including checking payments.
Management of the Global Wealth Management product holdings database. Produced data analysis and reporting for Director level stakeholders including visualisation software. Identified risk exposures and revenue opportunities through data insights. Subject matter expert and User Acceptance Testing for change projects.
Managed client onboarding and overseeing the legal documentation and account opening process. Ensured compliance with EMIR, Dodd-Frank, FATCA and CRS regulations. Stakeholder management including collaboration with Front Office, Business Management and KYC Teams.
Investigation and reconciliation of all incoming payments/fees received from paying agents and tax authorities. Extraction and manipulation of data to produce detailed relevant reports for clients and provide insightful MI. Validation of tax forms, supporting documentation and statements received from tax authorities.
Management of controls thresholds of European accounts and managing the risk for subscribers to the service. Monitored performance trends, forecasting and conducting business process analysis. Worked on different projects with Risk, Collections, Pricing, IT and Sales to provide analysis and recommendations.