London, England, United Kingdom
An Operations Manager with expertise in the assessment, design and implementation of business controls including first line of defence frameworks. Proven experience in business transformation, projects and regulatory initiatives covering multiple products including KYC/AML , Equity Finance and Derivatives. Demonstrated skills in identification and implementation of change initiatives aligned to regulatory and internal governance frameworks. Effective leader with strong influencing and communication skills with proven ability in building and developing strong performing global teams. PROFESSIONAL QUALIFICATIONS: • PRINCE2 Practitioner • SFA Registered Representative • Business and Technician Education Council - B.E.C. National Award in Business Studies • Global Custody Module of Institute Administration Qualification (Merit Award) • Associate Chartered Institute for Securities and Investment (ACSI) Specialities :- Equity Derivative Settlements Regulatory Market Initiatives Operational Risk and Control Process Change Projects Team Leadership Control Management
Provide support to the KYC and AML Procedure programme for the Corporate and Investment Bank Wholesale Client Onboarding (WCOB) teams.
Implementation of a First Line of Defence Governance and Control framework within the SGBM Front and Middle office functions. Deliverables included: • Initiation of Procedural and Internal Control tracking processes. • Initiating and drafting procedural documentation. • Implementing and tracking adherence to Compliance initiatives.
Performance of FSA Audit Reviews on behalf of RSM incorporating Risk and Control processes for Trading, Operations and Sales. Deliverables included:- * Identification of Process deficiencies within a Clients Operating model. This was facilitated by hosting Stakeholder Workshops , Process walkthroughs and Analysis of Procedural documentation * Production and Presentation to Senior Management of Business Analysis documentation detailing Tactical/Strategic improvement recommendations primarily targeting Risk mitigation. * Provided guidelines to Process owners as to their responsibilities within a Global Risk Framework ensuring alignment to Audit standards.
* Ensured optimal Control and Governance throughout all Process Change initiatives. * Represented RBS on Industry forums including DTCC CFM and Settlement initiatives. * Implemented Industry driven initiative to allow RBS to meet its regulatory commitments for OTC Cashflow Matching. * Analysis and production of documentation to identify IT Change opportunities and subsequent Test strategy.