Keith Sinclair

Supported ISA and JISA annual return initiatives through short-term contractual engagement.

• Conducted data analysis for preparation of 2024-25 annual ISA10 and ISA14a(Stat) returns.
• Assisted Policyholder Tax team with post-HMRC ISA audit remediation efforts.
• Reviewed internal procedure documents, compiling details for 2024-25 annual ISA14 return submission.
• Provided feedback on system enhancements to improve future returns processes.

Engaged in a short-term contract stemming from a prior customer relationship at Multrees Investor Services.

• Assessed preliminary scope papers for future US tax-related reporting tool.
• Proposed enhancements to preliminary document drafts.
• Created detailed documentation to fill gaps in US Tax reporting product.
• Proposed potential improvements and solutions for consideration in Financial Software's product roadmap. I have 13 years experience of using the platform.

Tax

• Led daily tax operations, managing a team of 2-4 members, supervising day-to-day BAU tasks.
• Ensured support for both operational sectors and client interaction zones.
• Collaborated with clients to maintain continuous service.
• Capital Gains Tax (CGT ) management & query resolution.
• Managed documentation processes for various US tax forms (W-8BEN, W-8BEN-E, W-8IMY, W9, & W-8EXP)..
• IRS Annual Reporting - 1042-S, 1099 & 1042.
• ISA Returns – ISACOMM100, ISA14, ISA14a(Stats).
• HMRC Regulatory Reporting – FATCA, Common Reporting Standards (CRS),Other Interest (OI).
• Led planning of CGT report creation and consolidated tax certificate remediation efforts.
• Evaluated ongoing operations to find areas for improvement.
• Designed initial ERI processes integrating CGT and income processing functionalities.
• Integrated ERI service offering from CGT provider to streamline transaction processing and year-end tax information generation.
• Developed extensive knowledge of UK and international tax regulations for operational tax processes.

Corporate Actions

• Directed operational processes daily with oversight of a four-member team in Corporate Actions.
• Supported Asset Servicing Manager.
• Managed team workflows and ensured risk monitoring within Corporate Actions area.
• Delivered coaching and support to improve behavioural skills, product understanding, and technical knowledge.
• Implemented effective controls to mitigate risks.
• Conducted daily cash reconciliations.
• Facilitated client Tax Year End reporting preparation.
• Performed analysis to identify enhancements in Corporate Actions processes.
• Coordinated interdepartmental assistance upon request.

• Supervise everyday functioning within the Corporate Actions area.
• Supervised team of four to ensure operational efficiency.
• Supported Asset Servicing Manager in daily tasks.
• Managed team workflows ensuring timely completion within corporate actions.
• Enhanced team skills in product knowledge, technical expertise, and behavior.
• Implemented and maintained departmental internal controls.
• Maintain effective controls to prevent risk & ensure compliance to required processes & procedures
• Facilitated preparation of client Tax Year End reporting.
• Assessed operational processes within Corporate Actions department to identify improvements.
• Provided support to various department functions as needed.
• Reviewed and recorded US Tax documentation, including W-8BEN and W-9 forms.