- Drives EMEA DEI Council strategy and objectives to align with the enterprise and ensure buy-in, engagement and commitment at all levels- Provides DEI insight and guidance on best practices to support strategic thinking and commercial success particularly in relation to people processes, culture and behaviours through the development of integral relationships with key stakeholders and senior leaders in EMEA and the US- Cultivates the firm’s brand through the formation of partnerships with external organizations such as INvolve, Black British Business Awards, and across the financial sector with collaborations with the likes of Bloomberg and JPMorgan- Provides leadership, expert knowledge and support to broader HR, Compliance, and Risk teams- Delivers DEI-related trainings around topics such as Microaggression and Bias- Designed and launched “Allyship Toolkit” – a program designed to introduce the idea and value of allyship to raise awareness in relation to all strands of diversity, equity and inclusion- Represent the firm externally as a DEI leader, promoting the brand and highlighting our DEI outcome and strategy- Liaise with HR and Data Analytics team to develop and track diversity metrics, highlighting key areas of progress and focusing on areas of opportunity- Foster the firm’s approach to employee networks with an insight of the nuances in EMEA and individual country dynamics to ultimately drive strategic DEI outcomes- Collaborate with HR, DEI Council, Learning & Development, and Data Analytics teams to drive firms strategic commitments to meet “Women In Finance” Charter (UK and Ireland) and “Race-At-Work” Charter commitments such as launching of the employee self-identification campaign - Participates in “Global DEI Community of Practice” with DEI consultants from India/Philippians, Asia-Pacific, Canada – Latin America and the US to align the firms DEI strategy across the global landscape, share best practices, identify needs and recommend solutions

-Ensure corporate processes concerning the operation of Compliance are adhered to, liaising with EMEA Central Compliance and the EMEA Control Room to assist with the adequate and timely execution of the compliance program-Support the EMEA Head of Markets & Enterprise Functions Compliance in preparing management reporting for boards and other committees as required and with assistance with key regulatory projects and initiatives as directed-Assist with the update and enhancement of policies, procedures and controls as requested / required to meet the changing needs of the businesses, as well as industry / regulatory changes as required-Review and document regulatory controls in respect of EMEA CIB Markets and in accordance with enterprise wide Compliance Program standards. Ensuring the appropriate control ownership-Recommend improvements to the control environment across multiple jurisdictions, legal entities and LOB-Support the EMEA Compliance Team with interpretation and application of globally driven major compliance requirements including liaison with Business Risk & Controls, Front Office, COO and Operations functions as required. -Assist in the management of internal and external audit and regulatory examinations as required-Liaise with US Enterprise Functions Compliance and Regional Enterprise Functions to ensure compliance program is in place for EMEA. Work with these teams to ensure deficiencies in the program are highlighted to compliance management and there is a program to address them

-Identify, interpret, and assist in applying UK, EMEA and globally driven major compliance requirements- Assist in developing, implementing and maintaining an effective Compliance and Risk infrastructure in the UK and EMEA region to accommodate applicable legal and regulatory requirements and company and line of business policies with a view to identifying, assessing and mitigating compliance and operational risks-Provide input to testing strategies and methodologies; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls; advises management on risk ratings and evaluates ratings against established policy standards-Interact with management and assist with adhering to UK and EMEA regional regulatory inquiries, regulatory changes, licensing, ongoing conduct and reporting requirements, and new or modified business initiatives; leading the local response to Compliance monitoring and testing initiatives, internal audits and external regulatory exams-Disseminating information concerning regulatory developments impacting the company in the UK and EMEA region, with necessary interpretation and impact assessment; developing and delivering Compliance training to enhance awareness and knowledge of applicable laws and regulatory requirements and enterprise or business line policies and procedures-Assisting senior management to appraise the systems and controls associated with the highest rated regulatory risks (as per an on-going risk assessment process) facing the various EMEA Lines of Business-Raise appropriate recommendations when system and control gaps have been identified and/or control enhancements need to be implemented to coincide with the formally agreed associated action plans (e.g. a change to systems, controls, governance structures, policies or procedures) and share with relevant senior management

·Perform regulatory reviews of specific subject matters, such as debt, syndicate activities, due diligence/deal files, pitchbooks, prospectus delivery, and confirmation disclosures. Escalate findings and proposals for resolution of issues.·Work with corporate and investment bankers to vet securities deals prior to presentation to commitment committee·Participate on special projects, such as analyzing new/amended regulations ·Edit and deliver written supervisory procedures and draft compliance bulletins; maintain procedures for debt capital markets compliance ·Prepare, facilitate and participate in compliance training·Assist in planning and preparation for exams and audits; prepare and gather documents to respond to internal and FINRA regulatory inquires·Provide back-up support to senior compliance officers, including quarterly reconciliation process for regulatory systems, printing commitment committee materials, preparing materials for quarterly meetings with debt capital markets managers·Develop cross-functional knowledge of compliance responsibilities ·Gain basic understanding of regulatory framework and specific industry regulations

Works closely with international business lines and middle office personnel; focusing on issues of data integrity, risk, trade settlement, and accrual basis for international sovereign debts, asset backed securities, corporate bonds, and equity productsPerforms Asset Control UAT testing for arbitration and validation rulesCreates domestic and international fixed income, equity, derivative securities, on multiple financial platformsIdentifies Asset Control mapping, validation, and consolidation issues Creates operational procedures to analyze security data efficiency, educated new employees to enhance their security knowledge base and department operating proceduresTrains up to 25 employees per session, on internal computer systems including AC Desktop, and Phase 3 Data-LinkFacilitates weekly and monthly meetings to keep up to date with the investment security changes as well as project updatesOversees that proper procedures are being followed by team members and that the quality control mechanisms that are in place are functioning properlyPartners with other departments and groups throughout the corporation to make sure that our data is accurate, delivered in a timely manner, and meets their expectations Generate, document, and analyze daily reports for senior management

Placed and confirmed trades for various clients, partnered with back office personnel to identify and resolve errors in trade tickets, and collaborated with multi-level management to create efficiencies in the order process Monitored and educated clients on movements in the marketProvided clear and accurate responses to customer inquiries, appropriately researched and resolved problems relating to customer accounts and inquiriesRecommended brokerage and banking products to increase overall customer retention and loyalty

Assessed and handled customer banking needs, obtained and processed customer account information, and sold bank deposit and loan productsRecommended investment solutions that were appropriate, from a variety of vendors, to meet customer needsPerformed presentations to senior management for recommending solutions for the customerPartnered and cooperated with different segments of the bank to resolve issues and deliver results to the customer

Cultivated and managed new and existing client relationships, developed sales plan for each relationship to provide an array of loan servicesSuccessfully utilized written and oral communication skills, as well as organizational talents, when working with multi-level management

Managed clients' portfolios, created specialized financial plans, and promoted the purchase of investment products Recruited and trained individuals looking to establish a career in the financial service industry, created instructional materials necessary to pass the many state and federal examinationsFacilitated investment workshops of over 50+ clients, introducing concepts and strategies that focused on debt freedom, and enabling clients to make wise financial decisions about their family futureManaged a team of individuals and taught them about financial products, how to prospect for potential clients, recruiting to build a team, and personal development