Barry McNulty

Background

About Barry McNulty

A Senior Compliance Professional with a broad range of compliance management and strategic management skills developed in several blue-chip organisations. In-depth knowledge and understanding of FCA regulatory requirements and their practical application including FCA Handbooks on COND, COBS, SYSC, COLL, FUND and SUP; • Understanding and experience of the regulatory alternative asset management environment, including knowledge around UCITS, NURS and AIF fund structures; • Proven experience within a Compliance Advisory or Project Management capacity within a Compliance function. • High quality delivery of the analysis and implementation of change projects driven by global regulatory reform (notably including SMCR, MiFID II, AML4/5 and MAR). • Managing projects from start to finish, with the ability to identify and pursue business opportunities. • Good industry knowledge within the financial services environment, with a range of investment businesses. Responsibilities and Duties; • As a Consultant, I am responsible for a range of activities that ensures that my clients' businesses remain compliant with the Financial Conduct Authority (FCA) rules and regulations; • Responsible for providing regulatory advice and guidance to businesses, leading and delivering regulatory change projects (SMCR, MIFID II, AML4/5, MAR), running compliance initiatives, meeting and supporting regulator visits such as FCA S165 investigations; • Draft and submit FCA applications for authorisation and Approved Persons applications; • Draft and provide guidance on regulatory reports, such a Gabriel returns; • Assist clients in the delivery of timely and effective reporting to the boards and regulator; • Assist with assessing the impact to clients’ businesses of future regulation and implement necessary changes to policies and procedures; • Performing regular monitoring to ensure that standards are adhered to