Daniel Harker Email & Phone Number

London, England, United Kingdom

Experienced Manager within Deloitte’s Financial Services Risk Advisory Practice leading the Markets Compliance proposition within the Wholesale Conduct Team. Previous projects have included:Leading a Trade Surveillance team at a global investment bank with a focus on the detection of potential market misconduct and market abuse requiring collaboration with the global compliance and trade surveillance operations as well as the design and documentation of procedures and approaches to… Show more Experienced Manager within Deloitte’s Financial Services Risk Advisory Practice leading the Markets Compliance proposition within the Wholesale Conduct Team. Previous projects have included:Leading a Trade Surveillance team at a global investment bank with a focus on the detection of potential market misconduct and market abuse requiring collaboration with the global compliance and trade surveillance operations as well as the design and documentation of procedures and approaches to alert review.Acting as a Quality Control function of a global investment banks trade surveillance alert review programme - including review, feedback and training of trade surveillance analysts.Review of a trading firms Finance & Reporting, IT and Outsourcing and Internal Audit policies and procedures including production of a detailed enhancement programme. Show less

London, England, United Kingdom

Senior Associate, Primary Market Specialist Supervision, Market OversightRelationship manager for a portfolio of corporate finance firms engaged in sponsor activity on the UK primary market, regular meetings, supervisory visits and reviews – requiring an advanced stakeholder management skillset.Departmental Risk Coordinator – co-lead on developing new departmental risk management approach, responsible for gap analysis presented to senior stakeholdersRepresented the… Show more Senior Associate, Primary Market Specialist Supervision, Market OversightRelationship manager for a portfolio of corporate finance firms engaged in sponsor activity on the UK primary market, regular meetings, supervisory visits and reviews – requiring an advanced stakeholder management skillset.Departmental Risk Coordinator – co-lead on developing new departmental risk management approach, responsible for gap analysis presented to senior stakeholdersRepresented the department at the ESG TechSprint and leading a project on leveraging technology to shape Market Oversights approach to ESG reporting with a focus on TCFD. Member of the Market Oversight ESG team and of the sustainable finance network Show less

London, England, United Kingdom

Associate, Market Integrity Unit, MIU (Primary Market Oversight, PMO)Subject Matter Expert (SME) representing the PMO department in a cross organisational dataaccess and management redesign as part of the FCA data strategy.Project managed the successful redesign of the MIU internal team policies and procedures.Drafting and presentation of departmental risk appetites to senior management.Representing PMO on multiple high-profile enforcement… Show more Associate, Market Integrity Unit, MIU (Primary Market Oversight, PMO)Subject Matter Expert (SME) representing the PMO department in a cross organisational dataaccess and management redesign as part of the FCA data strategy.Project managed the successful redesign of the MIU internal team policies and procedures.Drafting and presentation of departmental risk appetites to senior management.Representing PMO on multiple high-profile enforcement cases.Experience of stakeholder management, including CEO’s office and Members of Parliament. Show less

London, United Kingdom

Analyst, Debt Capital Markets (DCM) (Local Currency and Capital Markets Development(LC2)) Co-designed, delivered and managed the first EBRD Accelerator Development and FintechSupport programme, partnering with Startup Wise Guys and Rockit, included projectdevelopment and design, presentation, approval and obtaining funding, leading to a successfullaunch.Represented the EBRD at the ImpactCEE Fintech’19 event in Katowice, Poland. Meeting withthe Polish… Show more Analyst, Debt Capital Markets (DCM) (Local Currency and Capital Markets Development(LC2)) Co-designed, delivered and managed the first EBRD Accelerator Development and FintechSupport programme, partnering with Startup Wise Guys and Rockit, included projectdevelopment and design, presentation, approval and obtaining funding, leading to a successfullaunch.Represented the EBRD at the ImpactCEE Fintech’19 event in Katowice, Poland. Meeting withthe Polish financial regulator, the FCA and market participants, amongst others. Prepared theBack to Office Report upon return.Coordinated EBRD responses to requests from the Global Financial Innovation Network (GFIN),in addition prepared materials presented at the AGM highlighting the EBRD’s projects and policywork in Financial Innovation.Horizon scanning for collaboration with other organisations and companies in the area offinancial innovation, particularly FinTech.Employed knowledge of the FCA regulatory sandbox and organised meetings with the FCA’sRegTech team to build knowledge and assist in EBRD projects – including the EstonianRegTech Sandbox.Part of the project management team of the Polish Fintech Roadmap Project, requiringstakeholder management (UKNF, MoF, consortium), document review and use of my regulatoryknowledge.Co-wrote an initial scoping paper on Social Impact Bonds, requiring cross-organisationalcooperation to work towards a proposal in these innovative products. Show less

London, United Kingdom

Associate, Specialist Enquiries (Secondary Market Oversight, SMO)Led on the refresh of the 5 Year Market Abuse Strategy (5YMAS), cross-departmental policy work determining the departmental priorities over the next 2.5 years. Required stakeholder management, cross organisational coordination, analysis at pace and ultimately planning and delivery of a senior leaders away day.Analysed transactions on UK capital markets to detect insider dealing and market manipulation under the… Show more Associate, Specialist Enquiries (Secondary Market Oversight, SMO)Led on the refresh of the 5 Year Market Abuse Strategy (5YMAS), cross-departmental policy work determining the departmental priorities over the next 2.5 years. Required stakeholder management, cross organisational coordination, analysis at pace and ultimately planning and delivery of a senior leaders away day.Analysed transactions on UK capital markets to detect insider dealing and market manipulation under the Market Abuse Regulation (MAR) and determining validity of Suspicious Transactions and Order reports (STOR’s). Provided extensive market research to determine validity of cases through solid legal regulatory knowledge and profound understanding of the market while responding to high volume cases in the FCA and the need of fast paced turnover. Show less

London, United Kingdom

Associate, New Bank Start-Up Unit (Retail Banking Authorisations)Member of the departmental crypto strategy group, liaising with the Innovate and Sandbox teamsto discuss the integration of FinTech into business models.Deep analysis of banking business models and market knowledge of the UK banking sector,ensuring regulatory compliance of applicant’s business plans. In particular new, innovativebanking models including crypto banking.Led external stakeholder… Show more Associate, New Bank Start-Up Unit (Retail Banking Authorisations)Member of the departmental crypto strategy group, liaising with the Innovate and Sandbox teamsto discuss the integration of FinTech into business models.Deep analysis of banking business models and market knowledge of the UK banking sector,ensuring regulatory compliance of applicant’s business plans. In particular new, innovativebanking models including crypto banking.Led external stakeholder engagement with firms and the Prudential Regulatory Authority of the Bank of England. Show less

London, United Kingdom

Associate, Market Integrity Unit (Primary Market Oversight, PMO)Recipient of an ‘At our best Award’ for leading on a case in the preference share market,managing cross-organisational external communications. Market research and analyticalreporting, communications to market, feeding into CEO briefing with the Treasury SelectCommittee.Early scoping exercise of the Initial Coin Offering (ICO) market, assisting in policy drafting andfeeding into the classifications… Show more Associate, Market Integrity Unit (Primary Market Oversight, PMO)Recipient of an ‘At our best Award’ for leading on a case in the preference share market,managing cross-organisational external communications. Market research and analyticalreporting, communications to market, feeding into CEO briefing with the Treasury SelectCommittee.Early scoping exercise of the Initial Coin Offering (ICO) market, assisting in policy drafting andfeeding into the classifications of crypto tokens. Ultimately leading to the creation of theCryptoasset Taskforce in collaboration with the Bank of England and HM Treasury.Extensive analysis of the primary markets of the UK under UK and EU regulations such as MAR,MiFID II, the European Market Infrastructure Regulation (EMIR), compliance with theInternational Organisation of Securities Commissions (IOSCO) standards, etc. Show less

Msc Global Finance And Banking, Banking, Corporate, Finance, And Securities Law, Pass With Distinction

Cfa Level 1, 90Th Percentile

Passed the CFA Level 1 Exam scoring in the 90th percentile

Bsc Business Economics With International Study With Advanced Proficiency In Spanish, Finance, General, First Class Honors

Activities and Societies: Series for Economic Exploration (SEE) Talks Business Economics Society Squash Club Darts Society Intramural.

International Baccalaureate, 36

Higher level Economics (7), Spanish (7), Chemistry (4). Standard level English (5), Mandarin Chinese (5), Mathematics (6). Additionally.