Casey M. Smith Email & Phone Number

London, England, United Kingdom

• Responsible for creation of a new group-wide Business Risk Management function (6 teams, 30+ FTE) within the first line of defense across UK, NL, BE, DE, CH and Lux entities• Support the integration of the six different private banks into a single operating entity• Ensure effective 1LoD control environment for key processes and regulatory requirements (MiFID, general regulatory requirements), both pre and post the Temporary Permissions Regime• Advance aligned oversight processes for all services offered by the bank including wealth management, lending, asset servicing, investment management, and product development• Implement and manage a group regulatory change process, including horizon scanning of emerging EU and UK regulation, engagement with the business lines for impact assessment, and tracking of projects (Sustainability, ESG, “MiFID III”)• Chair of the Group Regulatory Steering Committee• Presentation of Business Risk topics to UK and EU Boards, and regulators• Facilitation of the annual Group RCSA and reporting to Board and regulators• Responsible for overall management of operational incidents and enterprise risk issues• Created an aligned group process for management and reporting of client complaints

London, United Kingdom

• Manage daily operations of EMEA investment organization in support of Head of Investments UK and Head of Investments Ireland• Ensure robust first-line business risk management, including assessment of end-to-end processesand work flows as well as effective business continuity planning• Engage with global regulators (Federal Reserve, FCA, SEC) as well as internal committees to present investments' capabilities, governance and oversight• Work across lines of defense to ensure effective implementation of regulatory initiatives in a global context (MiFID, Securitisation Regulation, LIBOR)• Manage global implementation of Charles River Development for investment oversight across the enterprise• Designated Person for Investment Management (PCF-39D) under Central Bank of Ireland CP86 for four fund boards• Further SSGA's utilization of low-cost locations through transition of roles to Krakow and Bangalore offices• Outsourcing Oversight Owner for UK entity in regard to portfolio management, trading, investment oversight, proxy voting, securities lending, market surveillance and research• Assumed management of the Global Model Oversight team, responsible for val

London, Uk

• As direct report to CCO, drive global second-line investment compliance initiatives, including identifying and implementing automation needs and other enhancements• Assess inherent and control risk via global Risk Assessment process; address resulting risk responses• Ensure globally consistent controls across Investment Compliance and Trade Oversight teams• Advise the business by representing Compliance in various committees (e.g., Trade Management Oversight, Global Operational Risk, IT Steering, Global Operations and Compliance, Enterprise Information Management Leadership)• Present Compliance updates to Fund Boards and clients• Manage global teams in Boston, London, Hong Kong and Bangalore• Lead SSGA Compliance’s efforts related to State Street's global operating model transformation and Recovery and Resolution Planning• Meet with regulators to discuss Investment Compliance monitoring program, Market Surveillance program updates, and other current initiatives• Identify emerging regulatory and operational risks and ensure effective mitigating control environment• Proxy Chair of the Trade Management Oversight CommitteeInvestment Compliance, All Asset Classes, Active/Passive Strategies, Registered Mutual Funds/ETFs/UCITS, Commingled Products, Separately Managed Accounts, Pre- and Post-Trade Guideline Monitoring, Portfolio Management/Compliance/Trading Systems, Global Staff Management - Boston, London, Hong Kong, Bangalore, Global Project Management, Trade Oversight, Market Surveillance - Communications/Transaction Control Room monitoring, MiFID, CP86

Boston

Investment Compliance, Trade Oversight

Boston

Global Portfolio Compliance