David H. Email and Phone Number

Within the Institutional Banking, Markets & Treasury division I am responsible for the branches overall operational efficiency, projects (strategic projects, new product launches, operations, supplier and outsourcing projects, bank wide change programs, continuous improvement projects), owning and monitoring business risk, data governance and protection, managing third party risk, business continuity and resiliency and regulatory change for the business all whilst driving business growth for… Show more Within the Institutional Banking, Markets & Treasury division I am responsible for the branches overall operational efficiency, projects (strategic projects, new product launches, operations, supplier and outsourcing projects, bank wide change programs, continuous improvement projects), owning and monitoring business risk, data governance and protection, managing third party risk, business continuity and resiliency and regulatory change for the business all whilst driving business growth for Hong Kong and China. Key role highlights include:● Reviewed and assessed new products proposed for distribution by the branch in conjunction with monitoring and managing product risk. Representing Hong Kong at the International Product Risk & Governance forum.● Successfully designed and executed on a strategy to increase branch balance sheet & revenue streams This included managing a project resulting in increased balance sheet resiliency and unprecedented month-to-month revenue for the branch,● Led the bank through a s59(2) Audit relating to Outsourcing (compliance with HKMA’s SA-2 & TM-G-2).● Designed, managed, and tested the annual Business Continuity, Liquidity Funding and Crisis Management Plans for Hong Kong and China. This includes enhancing systems, processes, and controls to manage regulatory change (OR-1, OR-2, TM-G-2, CPS230).● Lead TPRM for HK and China chairing the ‘Supplier and Outsourcing’ governance committee and responsible for testing and managing onboarding and offboarding of each location’s vendors.● Successful delivery of a KYC/CDD remediation project (involving ~50 staff globally) affecting 500+ clients and managed the regional implementation of an updated AML/CTF framework.● Involved in annual RCSA process to ensure risks are proactively identified, managed, maintained, and recorded.● Developed local transaction monitoring tools and processes for the HK Institutional Banking and Markets division to ensure regulatory compliance. Show less

Led a team of private banking professionals and associates, holding S72(b) and RISMA appointments, to deliver exceptional service to high-net-worth clients (Private Banking, Insurance, Corporate & Global Markets products) and responsible for identifying and managing all business risk, operational efficiency, and projects for the business. Key role highlights include:● Developed and executed strategic projects to manage business profitability & risk. This included a strategic decision to… Show more Led a team of private banking professionals and associates, holding S72(b) and RISMA appointments, to deliver exceptional service to high-net-worth clients (Private Banking, Insurance, Corporate & Global Markets products) and responsible for identifying and managing all business risk, operational efficiency, and projects for the business. Key role highlights include:● Developed and executed strategic projects to manage business profitability & risk. This included a strategic decision to review and decrease product offering, involving careful management of customers and the bank’s brand throughout the process. ● Drove remediation and change projects to ensure compliance with organizational and regulatory requirements and industry best practices. These included projects covering AML, KYC, Sanctions, Fraud Detection and Transaction Monitoring.● Managed all risk for the business including TPRM and data governance (accuracy, lineage, privacy and protection, storage). This saw the review and reduction of 30% of the business’ vendor relationships leveraging efficiencies with existing global suppliers and reduced the operational overhead of managing these suppliers. Reduction in suppliers also improved the business’ data governance and protection.● Executed a complete remediation of data, systems, and relevant processes to ensure compliance with DPS IS-Guidelines.● Participated in the annual RCSA for the business to ensure risks are dynamically identified, recorded and maintained.● Developed local transaction monitoring tools and processes for the HK Private Banking division to ensure regulatory compliance.● Managed internal and external regulatory audits on behalf of the business. Show less

Nurtured and grew a portfolio of high-net-worth and business clients and managed risk projects for the Private Bank: highlights include:● Appointed acting country head and led the business through a s59(2) HKMA audit covering AML, CFT and Fraud. S72(b) and RISMA appointed role. This included accountability in delivering closure of findings and related actions.● Mapped, documented, and rolled out updated CDD process and over 18 procedures, including executing related change… Show more Nurtured and grew a portfolio of high-net-worth and business clients and managed risk projects for the Private Bank: highlights include:● Appointed acting country head and led the business through a s59(2) HKMA audit covering AML, CFT and Fraud. S72(b) and RISMA appointed role. This included accountability in delivering closure of findings and related actions.● Mapped, documented, and rolled out updated CDD process and over 18 procedures, including executing related change management activities such as training and client engagement, to ensure the business control environment was vastly improved.● Designed, tested, and implemented the transaction monitoring solution for the Private Bank to enhance AML/CFT/Fraud and Sanction risk identification within the business.● Business SME on AML/CFT/CDD and Sanctions procedures for the Asia Private Bank● Escalation point for the business for all sensitive and high-risk complaints.● Assessment of vendor relationships with investment platforms, investor product providers and client suitability. Show less

Centauri was an Australian Private Equity Firm. This role was a short-term contract and an opportunity to broaden my skillset focused on:● Leading the finance team and responsible for the production and presentation of all financial reporting to senior management, financiers and the board. ● Prioritizing obtaining project and senior bank funding for the firm’s North-West Pilbara infrastructure development project. ● Develop, own and present all financial models related to the… Show more Centauri was an Australian Private Equity Firm. This role was a short-term contract and an opportunity to broaden my skillset focused on:● Leading the finance team and responsible for the production and presentation of all financial reporting to senior management, financiers and the board. ● Prioritizing obtaining project and senior bank funding for the firm’s North-West Pilbara infrastructure development project. ● Develop, own and present all financial models related to the project to senior management, financiers and the board.● Expense management and P&L/Cashflow forecasting for the project. Responsible for the approval of operating expenses relating to the firm.The role was successful in establishing key banking relationships and obtaining the required project and senior bank funding. Show less