Vice President. AML KYC on-boarding, remediation and renewals. Working with Senior Sales staff, Global Financial Crime Compliance, global screening and transaction monitoring teams, global technology to develop and maintain AML KYC client files across all client types, with focus on high risk correspondent banking relationships in high risk jurisdictionsDelivery of bespoke AML KYC training to Sales.

Senior leader within the Business Oversight and Controls Department (BOC), part of the UK Transfer Agency Division (UKTA) leading a team of 30 on/offshore staff providing onboarding, AML and financial crime services to 50 fund managers serving 1.5m clients.Key contact for senior management, fund manager clients and regulators to maintain adherence to regulation – in particular JMSLG and EU Money Laundering Directives.Managed the relationship with PwC for the ISAE 3402 controls report for all of UKTA.Prepared documentation for the annual MLRO reporting.Rationalised my team and reduced breach rates/errors from >5% to <0.1%.Project managed the process re-engineering of the client onboarding process (securing $1m funding) - reduced FTE by 5 and increased productivity by 2000% with no loss in quality. Set-up the UKTA Operations process and procedures for FACTA.Improved the Corporate Audit Rating from ‘needs improvement’ to ‘satisfactory’.

Led a team of 60 performing core operations and treasury functions plus generic support and control functions for all of Retail and Wealth Operations.Project managed the offshoring to India of core operational processes moving 15/60 roles offshore - reduced costs and implemented an operational control framework to assure senior management and regulators control of the department.Generated £100k p.a. in savings implementing a basic activity based costing model.Reduced a backlog of >1000 delayed/unprocessed fund distributions to nil ensuring adherence to regulations.

Managed 140 local and European branch network staff providing operational support across fixed income, equity, stock loan and listed derivative product lines (Budget of $70m).Generated budgetary savings of $10m controlling the firms budget for securities clearance costs.Implemented staff succession and development initiatives companywide – headcount turnover retained at <15%.Collaborated with LSE and DTCC on initiatives to consolidate the industry infrastructure for clearance and settlement.Provided crucial input as member of Senior Executive Team for the firm wide offshore plan.Managed the set-up of custody operations for Moscow and CIS countries for entry into emerging markets.