David Fogarty

Work History

Assistant Vice President (Anti-Money Laundering)

BNP Paribas

01.2018 - Current

Attending Senior Management meetings
Represent the team at Client and Board Meetings
Manage a team of Investor Services Administrators and oversee their work to ensure it is of the highest quality standards
Ensure that the team operates efficiently, adheres to procedures, ISAE 3402 requirements and BNP Paribas best practice and policy
Mentor and training of staff to achieve high quality AML reviews
Assist in the recruitment, training, motivation and development of staff to ensure a fully functioning team capable of meeting the department's objectives, including leading the performance management process
Help foster and cultivate a change culture where I strive to provide the highest quality service
Schedule weekly one to one meetings with team members
People Management
Review of files for internal/external audit
Hands on Manager in review and completion of AML files
Providing training to Outsourced Locations.
Established a high-performance culture within the team by setting clear expectations and providing regular feedback on individual performance contributions.

Associate Client on Boarding (Know Your Customer)

Deutsche Bank

01.2016 - 01.2018

Quality checking the work of Analysts and Senior Analysts
Review of Deutsche Bank enhanced due diligence clients
Interview and selection of new team members for Client on Boarding Dublin
Design of Desktop Procedures
Key point of contact for Quality Assurance Team
SME for DB Car (internal KYC system)
Secondment to Newcastle to provide team training on DB Car to Accenture KYC Team
Adherence to Deutsche Bank's new KYC policies
Attending weekly management meetings
Complete one to one performance reviews of team members
Member of Communications Committee.

Supervisor AIS Registration and AML Team

BNY Mellon Fund Services (Ireland) Limited

03.2012 - 12.2015

Quality checking the work of various team members
Ensuring new accounts have been set up correctly on the NTAS system
Use of the Image system to view investor documentation
Approving all forms of investor details on the NTAS system
Completing end of day reports for Management
Attending Team meetings to discuss progress/challenges
Advising on and reviewing AML requirements for new and existing investors
Maintaining and updating AML Logs for over 100 funds
Answering investor queries in relation to outstanding AML documentation.

Supervisor AIS Control Team – AML (Transfer Agency)

BNY Mellon Fund Services (Ireland) Limited

01.2009 - 03.2012

Key point of contact for resolving complex investor AML queries
Recording and reporting outstanding AML issues
Monitoring and checking the work of GLG team members
Establishing procedures to ensure bank policies are being adhered to
Reviewing investors Anti - Money Laundering documentation
Generating reports for Compliance on high risk investors
Maintaining excellent standards of customer service for internal and external clients
2nd checking the quality of work of Registration and AML requirements
AML Remediation Project work
Liaison with Management concerning progress of the AML Team
Conducting training sessions with staff members to ensure Anti - Money Laundering Legislation is being adhered to.

Transfer Agency Supervisor

BNY Mellon Fund Services (Ireland) Limited

07.2008 - 12.2008

Adherence to BNY Mellon standard procedures and controls in accordance with TA Department procedures manual
Ensure that deal receipt was acknowledged by the Dealing Team as agreed in Client SLA
Dealing with any queries from Clients, Fund Managers and Valuations Department in a professional manner
Supervision of 3 Fund Administrators to ensure the accurate and timely processing of dealing within the team
Review and sign off on all deals input by Administrators into the Rufus/Praeeo system
Provision of fully checked and signed off dealing reports to TA Cash Team, on which they will base pre-advise or payment instructions
Ensuring all necessary reports required by clients, fund managers or distributors were dispatched in an accurate and timely fashion
Review and signing of dealing checklists to ensure all tasks have been completed
Liaison with TA Cash Team to ensure that cash reconciliations items are being progressed
Making sure that all paperwork relating to the dealing function was filed for easy retrieval.

Senior Sales Representative

Marcus Evans Australia

12.2007 - 03.2008

Calling prospects explaining the benefits of upcoming conferences
Generating Sales to attend conferences and events
Client follow up and Relationship Management
Lead Generation

Senior AML Administrator (Transfer Agency)

Man Investments

06.2006 - 08.2007

Responsible for checking the work of 4 other team members
Partnered with internal AML teams in London, Tokyo & Switzerland to resolve complex queries
Reporting to my team leader any issues that may have come to light during the week
Completion of AML Remediation projects
Attending weekly meetings with my manager and team leader and communicating the results to my team
Secondment to London to assist in a busy fund launch
Secondment to Swiss office for 3 months where I helped with the smooth implementation of a new Compliance system
Super user on the (ROS) system.

Administrator – Transfer Agency

Man Investments

01.2005 - 06.2006

Set up new client accounts on the Investor registration system
Verification of account details and liaising with clients to ensure accuracy of investor records
Gathering various compliance documents for private and corporate investors to complete required transfer of funds
Assessment of Compliance requirements and liaising with Regional Offices for outstanding Compliance documentation.

Summary

Overview

Work History

Assistant Vice President (Anti-Money Laundering)

Associate Client on Boarding (Know Your Customer)

Supervisor AIS Registration and AML Team

Supervisor AIS Control Team – AML (Transfer Agency)

Transfer Agency Supervisor

Senior Sales Representative

Senior AML Administrator (Transfer Agency)

Administrator – Transfer Agency

Education

Certified Project Management Diploma -

Post Graduate Diploma in Digital Marketing -

Bachelor of Business Studies (Management) -

Leaving Certificate -

Skills

References

Hobbies and Interests

Certification

Timeline

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