David Grantham Email and Phone Number

Leveraged experience in automation and streamlining to drive the adoption of ‘data-led’ Assurance reviews. The role not only continued to minimize enterprise risk and positively impact the Second Line of Defense, but, also the First Line of Defense at HSBC through:- Drove the adoption of analytics within Assurance reviews through working in partnership with Assurance review teams to deliver “data-led” reviews and bring new insights into assurance activities- Drove the development of automated control and/or outcome testing solutions working collaboratively with stakeholders across Assurance, SMEs, and with each of the 3 lines of defense- Delivered automated control and/or outcome testing solutions, which could be handed over to the first line of defense, enabling continuous monitoring of non-financial risks- Established and maintain the technical environment for the broader team- Provided technical expertise to local and global staff, including training and development

Provided SME leadership in the design, communication strategy, and assisted with the delivery of a suite of applications within RSA Archer (v6.8) to capture all Compliance Assurance activity. The project achieved the following to date:- Enabled the demise of 5 systems and tactical tools previously leveraged to capture Compliance Assurance activity- Achieved a minimum cost savings of USD500,000, or 739 working days, per annum- Qliksense Dashboards based on data captured by Archer provide at-a-glance views and insights; enabled automation of standard MI packs through NPrinting- Implemented a data feed from the trusted source of operational risk data that enables review teams to easily add or remove controls from a review record, eliminating a spreadsheet-based operation that did not have the benefit of a native audit history- Deliberate design feature enabled a rapid conversion to support the Issue Management Enhancement Programme, which established a feed of Assurance-raised issues and actions to the operational risk trusted source at the request of both the Group Executive Committee and Regulators- Improved lagging internal survey results from 35% agreement in 2H 2019 that “our processes and procedures make it easy to get things done” to 52% in 2H 2021.In the face of challenges posed by the Covid-19 pandemic, I also augmented/supported IT staff development capacity as a system administrator through creating fields, rules, custom code, data feeds, calculations, reports, etc.

Leveraged expertise in process development and Microsoft Office VBA and expanded skillset into RSA Archer, basic JavaScript, and basic HTML to minimize enterprise risk and positively impact the Second Line of Defense at HSBC through:- Implemented a Microsoft Access database that centralized data storage and automated 75% of monthly reports that saves the team approximately 30 hours each month.- Developed, tesed, and implemented changes to testing application housed within RSA Archer at a cost savings of approximately $300,000 over external options.- Automated Issue and Action data entry into internal tracking system with Access, VBA, and basic JavaScript and HTML elements, reduced average entry times from an average of 11 minutes to 4 minutes.- Produced management reporting and miscellaneous ad hoc reporting for compliance management, governance and executive committees, and regulatory bodies on the activities of the department.- Developing 5 metrics-based business cases to justify use of software across team of 6- Supervised activities of and developed 5 junior team members through combination of general and targeted training with procedures, slides, and hands-on walkthroughs which emphasized best practices.- Developed team desk instruction manual that resulted in simplified procedures and key decision-making points that previously led to inconsistent outcomes.- Prepared and submitted data and documentation for internal audit, monitor, and regulatory demands.- Appeared in company produced YouTube videos "Meet Chuck: A Diabetes Alert Dog,” and “Meet Morgan: Diabetes Awareness Month,” to deliver an increased brand awareness and diversity effort through storytelling on a global scale

Applied expertise to minimize operational risk and re-engineer a key process of the anti-money laundering correspondent banking transaction monitoring lifecycle through:- Drove redesign and development strategy of the correspondent banking Request for Information (RFI) process: developed templates, streamlined policies and procedures, trained teams, management information, and user acceptance testing (UAT) prior to deployment in a production environment. Resulted in higher-quality responses from clients, which resulted in higher-quality analysis and detailed SAR submissions to FinCEN while reducing the workload placed on relationship and account managers globally.- Developed policies, procedures, and training materials for governance of the RFI process to ensure adherence to the process and controls amongst key stakeholders.- Learned and applied VBA programming to daily reporting, yielding a savings of approximately 40 minutes of processing time a day- Provided decisions for payments against black list on wire filter with some sanctions exposure.

Monitored correspondent activity and performed Enhanced Due Diligence on entities/individuals to enhance operational risk management (ORM) via AML systems and processes. - Reviewed cases escalated from offshore teams, sent field inquiries (FI) for additional information if research was inconclusive, reviewed field inquiry responses, and escalated cases as necessary- Hand-picked to conduct quality assurance reviews alongside the Jacksonville team manager to ensure AML cases closed by analysts consistently adhered to procedures and provided coaching and feedback as needed.- Wrote and submitted SARs to FinCEN as a result of correspondent transactions, 314(A/B) inquiries, law enforcement inquiries, etc.- Point of contact for the risk assessed customer scoring (RACS) process.- Participated in UAT testing for Norkom 5.8 as part of transition from Mantas 5.5.

- Trained, shadowed, and had hands-on experience in retail banking sales, lending, and service/maintenance- Learned M&I’s sales process and applied it in everyday customer situations (account opening, lending, service)- Enhanced leadership abilities through program-specific training- Maintained branch continuity by performing audits of day-to-day operations on a quarterly basis- Selected to a regional inter-department team that accounted for, audited, tagged, and disposed of fixed assets- Performed data entry for Fiscal Year 2009 Florida budget; included branch goal plans, upgrades, expansion, etc.

- Taught up to 800 students relevant material during office hours and on course discussion boards- Promoted academic integrity while proctoring up to four exams per semester- Graded three written exams per semester as well as discussion board posts- Gave/Taped additional class lectures on supplemental material as needed- Continued to develop communication skills breaking down complex material into understandable parts

- Maintained and updated Foundation’s website on a monthly basis using Microsoft Frontpage- Searched for new web hosts when website exceeded server capacity

- Performed all types of branch banking transactions for up to 200 customers daily- Solicited new business for the bank (i.e.: new accounts, loans, credit cards, debit cards, etc.)- Observed customer needs and referred them to appropriate bank products and/or personnel- Developed strong communication skills through customer and coworker interactions