Bradley Claremont

Experience

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  American Express

  Sept 2006 - Apr 2008

  Officer (International Payments & Investigations)

  Handled Electronic Transfer process through Swift, Chip and Fed Clearing systems while adhering to cut-off timings for USD, AUD and JPY i.e., MT103, MT202 & MT999Reviewing and actioning payments stuck in OFAC filters.

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  J.P. Morgan

  May 2008 - Dec 2009

  Team Lead (ACH Investigations)

  Handled a team of investigators in the ACH (Automated Clearing House) team. Interacted directly with J.P. Morgan customers and CSO’s as well as other Banks and Financial institutions via fax, e-mail and telephone to investigate all unauthorized ACH debits.

• 

  Tata Consultancy Services

  Dec 2009 - Jul 2011

  Team Leader (BPO Operations)

  Manning the ACASH (Americas Cash and Securities Hub) and maintaining accounts of clients in US, LATAM, ASPAC and EMEA

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  Royal Bank of Scotland Business

  Aug 2011 - Dec 2017

  Business Analyst - Team Lead (TIBCO)

  Provide production support (middleware platform TIBCO) to the business in diagnosing problems with inbound and outbound messages. Follow the Change management process and SDLC process for all production related changes.Adhere to the Incident management process and prepare PIR documents post incident management.

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  Bank of New Zealand

  Apr 2018 - May 2019

  Customer Service Consultant

  Process transactions such as deposits, withdrawals, international transactions and address any customer queries or issues.Back office duties like Deposit management, reporting, documentation and settling ATM’s at end of day.

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  XE.com

  May 2019 - Jul 2022

  Regulatory Compliance Manager

  Investigating and responding to all regulatory complaints received from AFCA and FSCL.Handling RFI's received from NZ/ AU police, subpoenas, customs, law firms, IRD, etc. Monthly assurance reviews as per ERMF to test control effectiveness of existing processes & procedures.Internal and external audits, call monitoring, Internal policy and procedures review, incident management, reports/ KPI's.

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  Trustees Executors Limited

  Nov 2022 - Oct 2023

  Compliance Quality Assurance Manager

  Conduct Line 2 assurance testing as per CAP across the business i.e., Corporate Trustee, Private Wealth, Registry and Custody and Investment Accounting, etc. Creation and maintenance of Obligations, Risk & Controls registers for Line 2 in Protecht (ERM) system. Assisting with filing external regulatory reports i.e., OIO, FATCA, CRS, AML annual report, etc.

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  Fisher Funds

  Oct 2023 - Oct 2024

  Risk and Assurance Adviser

  Conducting Line 2 controls assurance testing as per CAP & RMF to make sure DIMS, MIS & FAP obligations are met.Designing and maintaining registers, dashboards and reports in Protecht (ERM) system.

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  Financial Markets Authority - New Zealand

  Oct 2024 - now

  Adviser Investment Management

  Achieve fair outcomes for NZ investors by influencing, monitoring, educating and developing the investment management sector which include fund managers, DIMS providers, derivative issuers, crowd funding & peer to peer service providers and custodians.