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Niall Cleere is a Consultant with over a decade of expertise, specializing primarily in Trustee/Fiduciary and Investment Compliance areas and brings with him a wealth of industry knowledge and experience.
Prior to his tenure at Effecta Compliance, Niall led a team in the development, implementation, and enhancement of an internal compliance rules and advisory team. His responsibilities were centred around analyzing clients’ regulatory and prospectus investment restrictions and ensuring these restrictions were seamless integrated into compliance monitoring systems.
With seven years dedicated to the Trustee/Depositary/Fiduciary space, Niall specialised in overseeing depositary functions within the financial services industry. His responsibilities encompassed a comprehensive range of duties aimed at safeguarding and monitoring investor interests by ensuring strict compliance with regulatory requirements. In this capacity, Niall meticulously managed and supervised custodial activities related to financial assets held within funds, guaranteeing accurate record-keeping and safekeeping of assets. He was also responsible for overseeing the performance of third-party custodians and sub-custodians, ensuring their adherence to regulatory and contractual obligations.
Niall maintains a proactive approach to managing regulatory changes and has done so in all his roles which has enabled him to advise clients on key regulatory changes including, for example, the introduction of UCITS, AIFMD, and other key regulatory developments internationally and locally. One of Niall’s key areas of focus is in relation to implementing robust procedures and then conducting regular assessments to ensure effective implementation or identify potential gaps.
As a compliance consultant Niall interacts on a regular basis with senior management where he prepares and submits regular internal and external reports, providing firms and regulators with clear, concise summary of any issues or impact of specific regulatory changes.
Educationally, Niall holds a Degree in Economics and a Professional Certificate in Investment Fund Services, underscoring his academic foundation in addition to his extensive professional experience.
Sustainability Disclosure (SDR) And Labelling Regime
August 20, 2024
Background After an extended consultation period with input from several authorised companies, the Financial Conduct Authority...
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