Glen Wareing Email & Phone Number

Warrington, England, United Kingdom

- Responsible for promoting events on various social media and responding to comments/queries.- Logistical support at key events

Manchester, United Kingdom

- Developed and executed the 2LoD FC Compliance Monitoring Plan- Developed and implemented the 2LoD assurance process to support closure of s166 Skilled Person findings- Author of timely and accurate 2LoD reports to key committees to help senior management oversight of material risks to within risk appetite- Secretariat for the Banks Financial Crime Risk and Compliance Committee responsible for improving the quality of reporting and management information- Responsible for… Show more - Developed and executed the 2LoD FC Compliance Monitoring Plan- Developed and implemented the 2LoD assurance process to support closure of s166 Skilled Person findings- Author of timely and accurate 2LoD reports to key committees to help senior management oversight of material risks to within risk appetite- Secretariat for the Banks Financial Crime Risk and Compliance Committee responsible for improving the quality of reporting and management information- Responsible for ensuring all communications to the FCA were delivered to time and quality.- Trusted partner to the 1LoD responsible for oversight of material risks, issues and 1LoD reporting.- Author of annual MLRO Report Show less

Widnes

- Developed and implemented an issue management process- Developed and implemented a risk event process- Supported the development and implementation of the Risk & Control Self-Assessment process- 2LoD oversight of material risks and issues

Bolton & Manchester

Responsibilities• Provision of advice, oversight & reporting of material risks by 1LoD within PBB (UK). Achievements• Author of monthly PBB Financial Crime report providing 2LoD view of risk profile & the work required to improve management of material risk to within agreed appetite.• Designed & produced 2LoD Dashboard report to help inform Head of FC of material risks through the delivery of a key metrics one page report which was replicated across other… Show more Responsibilities• Provision of advice, oversight & reporting of material risks by 1LoD within PBB (UK). Achievements• Author of monthly PBB Financial Crime report providing 2LoD view of risk profile & the work required to improve management of material risk to within agreed appetite.• Designed & produced 2LoD Dashboard report to help inform Head of FC of material risks through the delivery of a key metrics one page report which was replicated across other franchises.• Author of PBB MLRO Report which was approved at key governance committee without any material challenges or questions.• Executed oversight of 1LoD Risk Assessment resulting in improved risk articulation, robust evidence & revised risk control ensuring that the inherent risk & controls position were accurate.• Provided advice & oversight on material issues/incidents/remediation programmes that breach regulation resulting in an improved risk profile. • Worked collaboratively across LoD to obtain approval to renew ongoing reviews exemption to limit the impact on customers by providing high level factual evidence in an executive dashboard.• Shaped key AML governance agenda & challenged 1LoD reporting & management information at key governance meetings resulting in an improved risk profile.• Developed, agreed & implemented a change oversight framework which was efficient & managed key FC change risks.• Completed oversight & challenge of 1LoD 4th EUMLD Upstream Risk impact assessment highlighting gaps in understanding/coverage which was corrected.• Conducted oversight of Anti Money Laundering Policy gap analysis confirming compliance to new policy & clean audit review. • Agreed development plan for direct report/new recruit to 2LoD & provided 121 coaching which helped enhance his AML knowledge & 2LoD challenge role (now a subject matter expert).• Developed & delivered various AML & Leadership teaching sessions to enhance staff capability & coached 1LoD colleagues on an ongoing basis. Show less

Bolton/Manchester

Responsibilities• Provision of advice, oversight & reporting of material risks by 1LoD within the global back office support function Achievements• Implementation, training & embedding of new risk assessment methodology across the globe including enhancing the risk culture in India.• Designed, facilitated & conducted global review of Wire Transfer Regulation compliance highlighting issues to be addressed • Conducted oversight of AML Change Programme (3 year project)… Show more Responsibilities• Provision of advice, oversight & reporting of material risks by 1LoD within the global back office support function Achievements• Implementation, training & embedding of new risk assessment methodology across the globe including enhancing the risk culture in India.• Designed, facilitated & conducted global review of Wire Transfer Regulation compliance highlighting issues to be addressed • Conducted oversight of AML Change Programme (3 year project) deliverables ensuring that enhancements to the FC Control Framework were delivered to time & quality.• Identified weaknesses in Anti-Money Laundering control framework through various Assurance Reviews creating Terms of Reference to identify key issues and performing oversight on reports & findings to confirm robust action plans were implemented to mitigate the risks identified.• Executed targeted assurance review of 1LOD management of issues & agreed actions to ensure full compliance to internal AML & Sanctions Policy.• Author of 2LoD Compliance Certificate (adherence to key controls across RBS policies) & responsible for obtaining Senior Management approval to rating & gap closure actions/timelines.• Production & sign off of the MLRO Report for BS which was approved by Senior Management.• Key player in the design & implementation of the ‘new’ 2LoD target operating model.• Improved communication & engagement within 2LoD AML team as part of my ‘People Champion’ role as evidenced by improved annual staff opinion survey results.• Conducted oversight & challenge on Attestation related issues ahead of Skilled Persons Review to ensure the risks had been fully mitigated or actions amended and/or timelines accelerated.• Facilitated review of adherence to FCA Financial Crime a Guide for Firms best practice including evidence to support compliance, identification of gaps & tracking closure of issues. Show less

Bolton/Manchester

Role responsibilities included leading & developing a 2LoD FC team to provide oversight & challenge of 1LoD. Key achievements included:-• Production & sign off of the MLRO Report for BS which was approved by Senior Management. • Production & sign off of the Global Assurance Testing Plan for BS and oversight of 1LoD reports. • Supported KPMG review to identify & close Financial Crime Framework gaps ahead of FCA Systematic Anti-Money Laundering review. • Development of Risk… Show more Role responsibilities included leading & developing a 2LoD FC team to provide oversight & challenge of 1LoD. Key achievements included:-• Production & sign off of the MLRO Report for BS which was approved by Senior Management. • Production & sign off of the Global Assurance Testing Plan for BS and oversight of 1LoD reports. • Supported KPMG review to identify & close Financial Crime Framework gaps ahead of FCA Systematic Anti-Money Laundering review. • Development of Risk Assurance Report which provided AML Directorate (key BS AML Committee) with fit for purpose review of BS Risk Profile. • Recruitment & development of AML team (increased from two to eleven people in two years with mix of technical skills & talent) with all three direct reports upgraded in role in new structure.• Robust oversight and challenge of 1LOD Compliance Certificate. Show less

Bolton, United Kingdom

Responsibilities• Management of key Operational Risk processes, completion of governance returns, project management & Secretariat for GM Risk Committee. Achievements• Designed & embedded updated Divisional Risk Committee Terms of Reference & Secretariat covering Operational & Financial Crime risks ensuring that the most potent risks were managed effectively.• Led the challenge and oversight of 1LoD Risk Assessment resulting in improved risk articulation.• Project… Show more Responsibilities• Management of key Operational Risk processes, completion of governance returns, project management & Secretariat for GM Risk Committee. Achievements• Designed & embedded updated Divisional Risk Committee Terms of Reference & Secretariat covering Operational & Financial Crime risks ensuring that the most potent risks were managed effectively.• Led the challenge and oversight of 1LoD Risk Assessment resulting in improved risk articulation.• Project managed, developed & implemented ‘Alerts’ process conducting ‘look across’ activity to ensure issues were not replicated in other businesses.• Provided oversight on material issues that breach policy resulting in an improved risk profile.• Project managed, developed & implemented GM ‘Scenarios’ process (catastrophic/rare but plausible loss events).• Improved quality & timeliness of Group Notifiable Event Reports (material loss events/risks) through dedicated ‘teaching’ sessions to support Chief Risk Officer (CRO) sign off.• Delivered enhancements to the Group New Product Approval Process to drive up quality of response & efficiency savings to support CRO sign off.• Author of the GM High Level Control Report which detailed the key controls/GM governance which was approved by Director of GM & approved at GM Risk Committee.• Robust oversight & challenge of 1LOD Control Certificate (adherence to key controls) & responsible for obtaining Head of OR approval to rating & gap closure actions/timelines.• Key governance reports signed off by CRO & Director without any material comments.• Oversight of business continuity plans & incidents ensuring robust recovery plans are implemented as quickly as possible.• Production of annual calendar of events to ensure all work was completed to time & quality. Show less

Various

1LoD Governance & Regulatory Risk Manager, RBS 2001 - 2004• Responsible for management of regulatory risk & corporate governance1LoD Risk Manager, Liverpool Customer Service Centre, NatWest 2000• Responsible for management of operational risks & reduction of lossesPerformance Consultant, North West Regional Office, NatWest 1997 - 1999• Responsible for improving process quality & operational efficiency3LoD Internal Audit… Show more 1LoD Governance & Regulatory Risk Manager, RBS 2001 - 2004• Responsible for management of regulatory risk & corporate governance1LoD Risk Manager, Liverpool Customer Service Centre, NatWest 2000• Responsible for management of operational risks & reduction of lossesPerformance Consultant, North West Regional Office, NatWest 1997 - 1999• Responsible for improving process quality & operational efficiency3LoD Internal Audit Manager, NatWest 1996• Responsible for execution of Retail Banking audits across the UKCorporate Banking, Warrington/St Helens/Liverpool, NatWest 1988 - 1995 • Responsible for sales, service and lending to mid-corporate customers Various Clerical roles within NatWest 1984 - 1987 Show less

Education record

3 A levels Economics B, English Literature B and Maths E

Ica Diploma (Graduate), Aml, Distinction