Ian Shaw

Ian Shaw Email and Phone Number

Managing Director, US Head Wealth and Personal Banking Compliance at HSBC @ HSBC
Ian Shaw's Location
Katonah, New York, United States, United States
Ian Shaw's Contact Details

Ian Shaw personal email

n/a
About Ian Shaw

Ian Shaw is a Managing Director, US Head Wealth and Personal Banking Compliance at HSBC at HSBC. He possess expertise in financial services, hedge funds, mutual funds, securities, fund administration and 33 more skills. Colleagues describe him as "Ian plays a vital role within a growing well positioned division of the Bank, leveraging on his legal, compliance and business accumen to oversee a control group responsible for numerous fundamental services provided by the division to its private fund clients. Not only does Ian strike the right balance between a pragmatic business approach and ensuring appropriate risk allocation but he is a pleasure to work with as a consumate professional, always patient, dipolmatic, well informed and thoughtful in his approach."

Ian Shaw's Current Company Details
HSBC

Hsbc

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Managing Director, US Head Wealth and Personal Banking Compliance at HSBC
Ian Shaw Work Experience Details
  • Hsbc
    Managing Director
    Hsbc Sep 2023 - Present
    London, Gb
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  • Hsbc
    Svp, Us Head, Enterprise Compliance
    Hsbc Aug 2014 - Present
    London, Gb
    HSBC Bank USA, NASenior Vice President, Americas Head, Regulatory Compliance, HSBC Securities ServicesResponsibilities include: Advising the businesses in relation to all regulatory compliance issues including but not limited to, the Dodd-Frank Act, the Volcker Rule, National Bank Regulations, Regulation W, Sarbanes Oxley, OFAC, USA PATRIOT Act and ERISA. Day-to-day monitoring of the businesses in relation to its compliance with Bank Policies and Procedures as well as applicable regulations. Advising the businesses on compliance issues related to new product launches, product modifications and cross-sell opportunities Developing and implementing compliance monitoring and self-assessment programs for supported businesses Escalation and resolution of compliance issues discovered during monitoring or self-assessments by the businesses
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  • The Bank Of New York Mellon
    Managing Director, Global Head Of Ais Regulatory Control
    The Bank Of New York Mellon 2006 - Present
    New York, Ny, Us
    Managing staff in global locations.Liaising between the business and Bank-wide support groups such as Legal, Compliance and AuditAdvising the business on strategic initiatives and their impact on control issues such as Anti-Money Laundering and OFAC ComplianceNegotiating and tracking Administrative Services, Custody, and related agreements with Hedge Fund clientsExplaining Administrative Services and ancillary services as well as market practice to clientsResolving open financial, legal, operational, business, tax and credit issues for clientsReviewing and negotiating launch documents, such as Subscription Agreements and Offering Memoranda for Hedge Fund clients Developing, implementing and administering policies and procedures for the division related to Anti-money Laundering, Know Your Client and OFACDetermining and implementing documentation requirements related to AML/KYC on Hedge Fund InvestorsDeveloping and implementing training for the division covering a wide variety of Hedge Fund administration topics
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  • State Street
    Vp
    State Street 2004 - 2005
    Boston, Massachusetts, Us
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  • Deutsche Bank
    Vp
    Deutsche Bank 2000 - 2003
    Frankfurt Am Main, Hessen, De
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  • Bankers Trust
    Vp
    Bankers Trust 1997 - 2000

Ian Shaw Skills

Financial Services Hedge Funds Mutual Funds Securities Fund Administration Fixed Income Equities Aml Financial Risk Bonds Alternative Investments Swaps Management Derivatives Risk Management Capital Markets Banking Portfolio Management Finance Fund Of Funds Bloomberg Credit Fx Options Prime Brokerage Investment Management Financial Markets Ofac Auditing Asset Allocation Kyc Back Office Middle Office Asset Management Global Custody Fund Accounting Securities Lending Structured Products Corporate Actions

Ian Shaw Education Details

  • Touro University Jacob D. Fuchsberg Law Center
    Touro University Jacob D. Fuchsberg Law Center
    Contracts
  • John Jay High School
    John Jay High School

Frequently Asked Questions about Ian Shaw

What company does Ian Shaw work for?

Ian Shaw works for Hsbc

What is Ian Shaw's role at the current company?

Ian Shaw's current role is Managing Director, US Head Wealth and Personal Banking Compliance at HSBC.

What is Ian Shaw's email address?

Ian Shaw's email address is ia****@****lon.com

What schools did Ian Shaw attend?

Ian Shaw attended Touro University Jacob D. Fuchsberg Law Center, John Jay High School.

What skills is Ian Shaw known for?

Ian Shaw has skills like Financial Services, Hedge Funds, Mutual Funds, Securities, Fund Administration, Fixed Income, Equities, Aml, Financial Risk, Bonds, Alternative Investments, Swaps.

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