John Ryan

• Undertaking a full review of Fitness & Probity (F&P) or Funds and Fund Service providers’ applications seeking authorisation to and from the European Economic Area, received from Regulated Financial Services Providers (RFSP) and to make a recommendation for decision to the Authorisations Team Lead or Authorisations Manager. Responsible for overseeing the work of Authorisation Associates and identifying service improvements. Troubleshooting IMAS application errors while liaising with IT for a resolution. Signing off on all external regulator requests from firms completed by Bank Officer’s for review. Completing initial checks on IQ applications and sending approval letters to firms once IQ’s are signed off by management. Arranging and participating in triage meetings with supervision divisions relating to complex IQ’s and determining whether an interview is warranted.
• Transferred to Authorisations Associate (RBSD), Fitness & Probity Team (Bank Officer) 04/2022 to 04/2023 (Full Time)
• Reviewing PCF IQ applications for individuals by firms for completeness and determine whether it warrants being returned as incomplete while seeking further information and/or clarifications as required from applicant. Reviewing application and supporting documentation in relation to PCF roles applied for or the RFSP application. Completing a written assessment of applications summarising the applicant’s level of fitness and probity for consideration by management
• Authorisations Associate (RBSD), Funds Authorisation and Passporting Team (Bank Officer) 10/2020 to 04/2022 (Full Time)

Completing and managing the delivery of the Authorisation function for funds and supporting the delivery of the Passporting function of funds to Service Level Agreement (SLA) requirements. Supported new funds sector firms by reviewing and processing applications and advising appropriate actions to acquire approval from the CBI. Developed detailed and accurate records of all applications regarding rejection and acceptance. Swiftly resolved rejected applications issues by collaborating with external stakeholders and colleagues to meet deadline and for funds approval. Monitoring a number of passporting email requests from firms while requesting further documentation when required.

• Processing of high-risk rated customers as received from various channels. Operating customer due diligence and AML risk ratings (enhanced due diligence where necessary). Investigation of Source of Funds and Wealth through customer statements and credit checks.
• Selected Contribution: Demonstrated ability to adapt to new systems, consistently reaching SLA requirements and receiving positive feedback from management on strong start to role.

• Demonstrating a high level of professionalism and confidentiality. Completing daily Transfer Agency requests as per Service Level Agreement (SLA) timeframe. Preparing, packing and distributing documents/shareholder notices to clients within agreed timeframe. Completing requests from other departments on ticketing system.
• Selected Contribution: Demonstrated ability to adapt to new systems, consistently reaching SLA requirements and receiving positive feedback from management on strong start to role.

• Managed paper and electronic format applications, assuring strict adherence to Service Level Agreement (SLA) requirements. Supported new funds sector firms by reviewing and processing applications, and advising appropriate actions to acquire approval from the CBI. Developed detailed and accurate records of all applications regarding rejection and acceptance. Swiftly resolved rejected applications issues by collaborating with external stakeholders and colleagues to meet deadline and for funds approval.
• Selected Contributions: Tested new systems prior to live on CBI website. Identified errors and accordingly recommended appropriate course of actions.
• Successfully obtained positive feedback from legal advisors and management by solving problems related to new system.

• Partnered with key users to understand and resolve issues relevant to the Leap Card travel ticket service. Provided hands-on assistance on several issues, including account creation, account problems, password resets and journey refunds via the Leap card helpline. Engaged in departmental training and programmes, focusing on new procedures and customer service enhancements. Responded to all incoming emails during entire process, from case creation to closure. Advised team members on their cases and recommended solutions accordingly, while acting as back up coach.
• Selected Contributions: Exceeded organisation set targets and achieved employee of the month award on several occasions.
• Received bonus based on performance and by consistently meeting SLA requirements.