nmalcolm675@gmail.com
About Me
I’m a results-driven professional with extensive experience in Fund Administration, Wealth Management, Client Onboarding, Compliance, KYC, AML, and Sanctions Screening.
Analytical and resourceful, I have a proven ability to operate effectively in high-pressure, regulated environments, delivering accuracy and efficiency across client and data management processes.
I specialise in research and investigating issues using search engines and industry applications such as LexisNexis (Bridger) to locate relevant and critical information. My inquisitive nature and problem-solving mindset enable me to interpret complex regulations and contribute to well-informed, compliant business decisions.
A keen interest in Law led to me passing an A-Level in 2003. My other interests include global politics, and current affairs, which enhances my awareness of the wider financial and regulatory landscape.
Outside of work, I am Vice-Chair of the Horndon-on-the-Hill Village Forum and an active member of the Feast & Fayre committee, helping to plan and deliver community events that strengthen local engagement.
Education
Thurrock & Basildon ( now South Essex College) 2003
Law
A Level
Palmer's College (now USP College) 1987
History
A Level
Work & Experience
Raymond James Investments (UK) 08/05/2024 - 11/25/2024
Client Onboarding Administrator
End-to-end client onboarding using LexisNexis system. Maintained relevant databases, including sub-client ledger system (client money). Retail and HNW clients; liaised with compliance for investigations. Strictly adhered to established departmental processing procedures and controls I supported the achievement of their SLA objectives, and successfully completed 10 online Compliance courses, which satisfied FCA requirements.
Woodside Corporate Services 05/08/2023 - 10/25/2023
Compliance & Client Onboarding Assistant
Completed compliance checks and performed end to end sub client onboarding, including HNW, Trusts using Lexis Nexis Bridger system. Sanctions screening. Strictly adhered to established departmental processing procedures and controls Proactive in completing security checks (operational risk) on investors / investment managers. I also completed Google-based onboarding investigations for new investment clients. Successfully completed an investor backlog database project (June - July).
SS&C Advent 11/29/2021 - 03/01/2023
Operations Associate
Working from home, I established an excellent rapport with the Manager of Outsourced Services in the UK and the line manager in the Globe Operations office in Mumbai. End to end client onboarding for a specific HNW client. Performed stock and cash reconciliation between our records and those of the fund managers/custodians/banks Strictly adhered to established departmental processing procedures and controls Responsibility for calculating the Unit-linked prices on a timely and accurate basis. Daily MI reporting and cash reconciliation duties; MiFID. Adherence to strict dealing and cash transfer deadlines Accurate and Timely production of Month End Reports Payment of Fund Management fees Built robust relationships with my colleagues in India, the UK, and the lead managers of our Dubai-based clients. Successfully supported a new colleague working in the UK (whilst still working remotely). Covered a fundamental change in the client relationship when their sub-client list increased by 10,000 sub clients over a single weekend.
SS&C Technologies 12/11/2017 - 06/17/2020
Senior Associate; Client Reporting | Reconciliations (CASS)
Daily account monitoring, updating data, investigating anomalies (escalated where necessary). Strictly adhered to established departmental processing procedures and controls Performed stock and cash reconciliation between our records and those of the fund managers/custodians/banks Adherence to strict dealing and cash transfer deadlines Performed account transfers with Cash Management (for Client Money transfers). Accurate and Timely production of Month End Reports Built robust working relationships with colleagues, other teams, line and senior managers, and directors. Coordinated with the CASS team; direct liaison and an emphasis on CASS 6, 7, and 8 in our procedures and practices. CMAR reporting each month, using Internal Client Money Reconciliations; MiFID. May 2019 relocated to the Basildon office (with 3 colleagues) as directed by a director/senior manager to carry through a special project with the FCP/AML team at our Basildon branch; enhance and update a backlog of data files. We finished it in 6 months. I returned to Brentwood.
Thurrock Borough Council 07/04/2016 - 06/30/2017
Insurance Casework Assistant
Successful end-to-end fulfillment of a variety of claims lodged against the Council by individual/organisation/landlord claimants. Allocation was according to seniority of staff. Worked on claims where the liability was under £1000. Our external stakeholder partner, Zurich Investments, took responsibility for liabilities over the aforementioned threshold. Strictly adhere to established departmental processing procedures and controls Claimant engagement. Liaised with internal/external stakeholders in the process of investigating each claim, in order to gather the relevant evidence. I also interfaced with claimants at our offices. Ordered, and delivered by mail, payment cheques to successful claimants.
USP College 04/22/2025
Exam Invigilator (part-time)
Required to complete online courses before commencement of duties. Reporting to Exam Assistant, and working to Joint Council For Qualifications (JCQ) guidelines. Allocated relevant packages to set up for exams in specific locations on campus. Unsupervised, or working with senior invigilators. Exam room set up; checking air quality, oversight of student spacing, ensuring correct signage for adjacent corridors advising students of rules of examinations, resources available to students. Correct annotation of exam details on white/blackboards. Identification of students sitting; if students carry temporary ids they have to be verified by administration staff overseeing “safeguarding”. Supervising exam sittings. Clearing up after the exam, returning exam papers and other resources to the exams office.
Marks & Spencer 11/02/2009 - 07/31/2018
Customer Assistant
Customer engagement Menswear, Operations, Money, Home and Overnight Replenishment on Foods. Commended by managers for my enthusiasm, reliability, intelligence, and customer service. Whilst working for food hall night replenishment I was contacted by a manager whilst on leave; an administration error with staffing roster meant only 3 staff were working instead of the 6 required. I cancelled my night off, and helped the team to complete the night’s work so the store could open in the morning with the food hall satisfactorily replenished. I received a service award.
Cofunds Nominees Limited 05/04/2004 - 10/30/2009
Senior Associate
Recommended for my role by a management consultant who I had worked with previously. Supported management consultant by helping him choose new team leader The team was in transition; external auditors required improvements and I helped deliver on them. Strictly adhered to established departmental processing procedures and controls Performed stock and cash reconciliation between our records and those of the fund managers/custodians/banks Accurate and Timely production of Month End Reports The team became more efficient and productive enabling the company to take on prestigious new clients.
Home Office - UK Civil Service 05/05/2003 - 01/30/2004
Administration Officer - Criminal Cases Review Commission liaison.
I was a case worker within a team which was then working in conjunction with the Criminal Cases Review Commission (prior to working with the Ministry of Justice). My role was to communicate with claimants (and their authorised representatives), research the grounds for the cases being referred, and draft correspondence relating to their claim (initial letters, progress reports and judgments). I was also tasked with preparing replies to the claimant's constituency MPs inquiries who were involved in the claimant's cases. I also performed tasks within the team as directed by the senior officer.
Various Organisations 03/06/2000 - 05/05/2003
Various Roles
took various temporary and contract roles for 3 years after leaving HSBC. Whilst working for Cofunds (Chelmsford, Essex, UK) from 2002 into January 2003, I was contacted by the UK Civil Service to confirm I would be working with them from April/May 2003. I took a temporary role with IFDS, in Basildon, Essex (UK) from February until late April in the meantime.
HSBC Global Investments (formerly Midland Securities Services) 11/02/1987 - 03/03/2000
Administrative Assistant
I started in a Midland Bank Unit Trust Administration team, then Midland Securities Operational work in Crest Settlements, until a promotion in 1995 took me into HSBC Client Funds Reconciliations in 1995 (Control/Back Office). My roles coincided with major changes in the firm, and I had to be adaptable and able to think on my feet regularly. Two occurrences during my time as a Reconciliations Administrator fuelled my interest in Law, which I had been interested in since my sixth form studies (where I attained a GCSE "A" in Government and Political Studies; a legal trainee worked with my team as a temporary staff member and shared some of his experiences, a UK mandated fund carried through an alleged illegal set of trades through the German Stock Exchange (Frankfurt) netting a massive profit. Regarding the latter above, I liaised with our Compliance department. No action was taken, but I did some research on the matter (books, etc). Just before I left to do other things in 2000, I was commended by a manager overseeing the new IT hardware and software the company was going to use (I had been involved in testing) for my efforts and willingness to help him. And my senior department manager thanked me for all my efforts, and stated he was sorry to see me leave; he suggested he knew the office politics in the place had been a factor but couldn't influence this himself.