I have a strong ability to identify improvements and propose effective solutions, with a positive mindset and a can-do attitude. Influencing the business's corporate strategy with an operational and client-customer based approach; I innovate cash and stock related operational processes. I work through challenges with a smile and liaise with all departments for a better understanding throughout the business, opening challenges of communication, ultimately improving interdepartmental effectiveness.
Designed the Client Assets (CASS) Governance Framework for CIS UCIA based on 3 Pillars: CASS Awareness (leaflets, dedicated website, CASS and Breach E-Learning); CASS Assurance across the business using a Risk Management Platform, creating and updating CASS Policies (from client onboarding to reconciliations, dealing or product design including risk management, systems and controls; And CASS Oversight taking part on the Monitoring Programme for the CASS Audit.
Maintained the CASS Resolution Pack and CASS 6 and 7 Mapping, engaging with all Departments on the creation and monitoring of policies and operational procedures related to Client Money and Assets.
Created workshops aiming for: a better understanding and Mapping of CASS Rules, deep analysis of risks and controls amongst Dealing, Treasury, Payments, Product and Client Management Departments and a better Governance and Oversight of their own operations.
Coordinated the Annual External Audit, liaising with all the Departments involved, locating and providing those documents requested under strict time constrains while the BAU activities remain unaffected.
Coordinated and Supervised the creation of CASS related Policies and Procedures across Computershare UCIA during the migration of our Clients Assets to Equate Plus system.
