Front Office Project Manager

TIMOTHY RICHARD SULLIVAN

British Citizen

Mobile: +44(0)755*******

Email: ********@***.***

Candidate Profile

Highly experienced Investment Management Governance & Compliance Specialist (ex FCA)

•Former Global Fixed Income, Multi Currency Senior Investment Director, Discretionary Management

•Consultant Project Manager & (Hybrid) BA, specialising in Investment Management, Change, Remediation and Regulation-driven projects, such as EMIR, MiFID II, IDD, SMCR, SIMR CSDR & BREXIT (ERRP) and Thematic Reviews, per Investment Suitability, Product Governance and Mis-selling.

•Strong Asset Class knowledge (SME Fixed Income & Currencies) with long-term Front Office experience

•Sound understanding of Regulation and FCA Handbook: PROD, SYSC, COLL, COCON, MCOBS, PS19/04

•Front Office, first-hand experience of Capital Markets and Client engagement

•Strong & qualified understanding of fund types & Platforms, including OEICs, UCITS (& Mutual Funds)

•Pension Transfers/Benefits and S-166 reviews

•Fellow of Chartered Institute of Securities & Investment

•Good working knowledge of French, fluent in Spanish

•UK Resident & Passport holder

Recent Experience

September 2019- End of July 2025 (retired).

Waystone UK (formerly Link Solutions) London

Senior Manager - Investment Manager Supervision Team

Member of 4 strong team responsible for maintenance of Due Diligence dialogue between Authorised Corporate Director (Link Asset Services) and delegated Funds managed by FCA regulated Investment Firms & offshore domiciled Investment Managers. Principal purpose: Oversite of Governance & Compliance.

Daily responsibilities include Trade Review, Fair Value Pricing, application of Dilution Levies. Review & scrutiny of Fund Manager investment decisions, Administrators and all Fund related administration including, but not restricted to:

Risk parameters, Performance Measurement, Investment Process, Quality and depth of Risk Management, Method & Structure of Compliance and Terms/Points of Reference; MiFID II adherence, COLL, FUND, PROD and level of IT integrity.

Oversight and Fund review & scrutiny, including editing and pro forma text for Fund Prospecti, Performance Commentaries, Offer Documents, Investment Management Agreements (IMAs) review & oversite for Suitability and adherence to Investment Guidelines & restrictions. Annual, on-going review of key Regulatory and Governance features, especially Stewardship, ESG and Shareholder Rights and implementation of PS19/04. Wrote the department’s ESG policy which is also included in our latest Due Diligence formation for Fund Delegates under Link’s ACD mandate. Also upgraded their Shareholder Engagement policy to greater levels of clarity, to Audit standard

August 2010-September 2019

Financial Services Contractor, covering:

AIFMD (at FCA)

Investment Suitability Reviews

KYC File Reviews

MiFID II Implementation

Interim Compliance roles

Complaint Reviews

BREXIT

SMCR

S-166 Reviews

AML Projects

Enterprise Risk Training

(Individual detail available upon request)

Sep 2010- Nov 2010: Topland Group, Private Wealth Management, Securities Investment Manager

Aug 2000- Aug 2010: HSBC Global Asset Management, London

Head of Global Fixed Income & Senior Director, Private Client Fixed Income portfolios

1998-2000: ABN AMRO Bank (Suisse) Zurich, Switzerland Head of Investment Strategy

1997-1998: Mitsubishi Trust and Banking, London

Treasury Manager,

1995-1996: Commerzbank Asset Management Asia Ltd, Singapore Chief Investment Officer and Managing Director

1990-1995: Citibank Global Asset Management, Hong Kong and Singapore Senior Portfolio Manager, Senior Portfolio Manager

1983-1989: Manufacturers Hanover, London, Senior Manager Investment Baking & Sovereign Syndicated Lending

1980-1983: Standard Chartered Bank, Hong Kong & Sultanate of Oman, Covenanted Officer.

Education/Qualifications

2005: Fellow of the Chartered Institute of Securities and Investment (admitted by Examination and Experience in December 2005)

2013: Passed “Integrity and Ethics” paper of CISI (above)

1980: King’s College London University Graduate

BA (Honours) French Studies, with Spanish Subsidiary

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