SSBO Risk Manager

Led the EMEA Client Service Management Team, servicing the London Prime Brokerage Hedge Fund Clients in all Global Cash FID and Equity trading covering EMEA, Asia and US Markets.• Managed Analyst to Director level, conducting frequent 1-2-1 meetings to support career development.• Maximised team knowledge and productivity through effective training, monitoring and directing employees in application of best practises and regulatory protocols.• Led process reviews, analysing existing processes and procedures to improve operational efficiency.• Implemented performance measurements to record team success and recognise areas for improvement.• Implemented a Growth Stats Dashboard to monitor attrition, training, business growth and review headcount.• Managed market volatility, maintaining high standards of client service despite increased volumes.• EMEA Lead for Client Service Strategy, setting standards for all departments providing direct client service.• Member of the Glasgow Awards Committee, recognising talent within the company.• Member of the EMEA Director Forum, leading a group of Directors to deliver connectivity events.• Involved in the Glasgow Mentoring Programme, providing support for junior members of the firm.

Led the Pre-matching and Fails team within the Glasgow Prime Brokerage Department. Managed all Cash Equity and FID trading from matching to settlement, liaising directly with stakeholders and external counterparties.• Owned key market changes, working with internal and external stakeholders to manage risk and effect change.• Improved as-is processes, including IT Infrastructure, whilst seeking opportunities to gain efficiency savings within the immediate department and wider organisation.• Determined the optimal EMEA Prime Brokerage support model for Done with (MS) trade flow. Performed analysis and reviewed existing processes to reduce duplication of effort within the global Prime Brokerage area.• Led the review of EMEA Markets with the aim of improving straight through processing rates and work across operations to agree consistent approach to managing external stakeholders.

• Supervising a vendor team who perform a reconciliation and tax processing function to ensure that both Firm and Clients are accurately charged.• Risk management oversight to pro-actively identify risks, escalate and clearly outline resolution.• Ensure payment and reporting provided to Tax Authorities is accurate and submitted within prescribed deadlines.• Actively monitor and review reclaims issued to Tax Authorities to make a positive impact on Firm cash flow.• Ensure appropriate evidence is obtained to support tax exemptions• Review and monitor Month End reporting completed by vendor whilst providing risk/metric reporting to senior management.• Central point of contact with Agent Banks, Tax Authorities and internal client service teams in relation to owned processes, where strong relationships require to be maintained.• Collaboration with Global Tax Utilities London and Asia colleagues in driving services forward whilst liaising with and support Business units, Operations and Tax Legal.

• Operations lead for ongoing system changes to the Investment account opening platform, including production testing and live proving.• Managing data remediation projects within Operations to assist other areas of the business.• Lead on people development project focusing on career progression within our area.• Performance managing staff members within the team focusing on accuracy, attendance and behaviour improvements.• Participation in consistency review of BA3 staff members at the end of each quarter.• Implemented a centralized tool to be used to track all managerial tasks within the department for senior management review.• Performing regular checks on all manager updates within the centralized tool to ensure all monthly tasks are being completed.

Responsible for the opening, maintenance and closures of Barclays Wealth Investment portfolios.• Subject matter expert for the month-end fee process of investment charges for trading and advice on products.• Right First Time monthly analysis of Front Office account submissions, identifying knowledge gaps to improve the overall RFT rates.• Supporting Business Analysts on projects to improve processes.• Deputizing for team leader• Conducting 1:1 feedback and performance sessions with temporary staff members.• Quality & Productivity tracking and analysis for the team• Evaluating training needs analysis and identifying gaps and improvements.• Resource planning for peak periods in order to ensure SLAs are met.• Facilitate team meetings, creating agenda points and following up with documented minutes.• Recruitment Support including interviews, note taking and final review.• Member of Diversity forum, supporting and co-coordinating charity eventsInvolved with the RDR & Avaloq projects including defining processes, writing procedures and training all team members in the new process.

Responsible for the daily wealth account opening and account maintenance activities.• Wealth and Investment Account Opening subject matter expert.• Allocating and ensuring all tasks are completed within service level agreements.• Building and maintaining professional working relationships with stakeholders from peer to senior management level.• Complaint and Escalation point within the team.• Performing root cause analysis on Service improvement initiatives and implementing remediation work and process changes.• Leader in continuous improvement within the team and department.• Hosting conference calls with various stakeholder groups to discuss ongoing projects, process improvements and general communications.

Dealing with customers face to face, complaints, cash handling, balancing, dealing with customer needs, selling the products, offering alternatives to customers.