Helping clients embrace change and transform regulatory obligations into opportunities for excellence, using Agile methodologies to navigate the shifting sands of global regulation.

• REGIS-TR lead on application to UK Financial Conduct Authority to run UK Trade Repository post-Brexit• Create documentation set (policies and procedures) in accordance with UK-onshored legislation, ensuring coverage of all required aspects and obtain appropriate internal sign-offs for new documents• Attend FCA, Bank of England and ESMA Brexit meetings• Respond to all FCA queries, provide or elicit required information from internal SMEs and ensure complete Compliance, Legal and Senior Management review and sign-off• Support colleagues leading other Brexit workstreams (development, client re-papering / onboarding, company registration) and liaise with External Legal Counsel• Provide training in UK EMIR regulatory requirements for new REGIS-TR UK Ltd staff members• Inclusion in the FCA's Temporary Registration Regime, ahead of initial March 2019 Exit Date, successfully achieved

• UK lead for SFTR external outreach• Provide subject matter expertise for RFP and RFI responses for Tier 1 firms. Attend introductory and follow-up meetings, and deep dive sessions• Support Clearstream SFTR implementation leads (custody business and fails lending SMEs)• Attend ICMA / ERCC working group meetings, SFTR conferences and events, and represent REGIS-TR at industry speaking engagements• Author thought-leadership pieces for Journal of Securities Operations & Custody and ISLA's Securities Lending Market Report 2018• Relationship lead for UK-based third-party vendors ahead of technical onboarding

• REGIS-TR lead on EMIR Portability implementation project• Co-ordinate and lead weekly Inter-TR Portability calls, draft ESMA-mandated documentation for peer review and sign-off• Interpret regulatory texts, in consultation with Legal and Compliance colleagues, to create internal backlog covering all defined use cases for REGIS-TR technical teams• Instigate standup meetings with Project Management, Business Analysis, Testing and Development colleagues to facilitate information sharing, and act as point person with other TRs for technical team queries and clarifications• Liaise with Product, Sales, Relationship Management and Marketing colleagues to promote awareness and understanding of business opportunity resulting from Portability initiative

Specify and procure external supplier for creation of single UI across multiple reporting services:• Conduct review of all existing REGIS-TR UIs• Create prioritised backlog from internal feedback, client request, company outreach, own research and previous experience• Present proposal to senior management and gain sign-off for project spend and methodology• Create long- and short-list of external UI specialists to create agreed product• Conduct vendor workshops and selection process, and complete formal procurement process• Handover to REGIS-TR permanent Product Manager for project implementation

• Managing the application process to become an EMIR Trade Repository, along with the Chief Executive Officer, and the Regulatory and Operational Compliance Director• Liaison with key stakeholders: Senior Management; ESMA and other regulatory authorities; Audit and Compliance• Accountable for the day-to-day running of the Trade Repository development project, overseeing all facets of the creation of the Trade Repository service, including business analysis, software development and technology provision, with the Head of Engineering• Scrum Product Owner, participating in all aspects of sprints – planning, backlog prioritisation and refinement, reviews and retrospectives – to turn regulatory requirements into technology deliverables• Implementing company policies and procedures across Operations and IT to ensure compliance with regulatory mandates. Liaison with AWS Legal to ensure our cloud-based solution meets all relevant Trade Repository legal requirements• Working with other reporting workstream Product Managers to deliver Abide’s strategic regulatory reporting objectives• Responding to FCA, ESMA and CPMI-IOSCO regulatory outreach, via consultation and discussion papers, and working group calls• Associate Member of the BBA's Transaction Reporting Working Group

• Advising CME ETR’s CEO, COO, CCO, General Counsel, Global Head of Business Development and Head of Client Service on European regulation – MiFID I, EMIR, REMIT, MiFIR and SFT – as it pertains to Trade Reporting and Trade Repositories;• Understanding and interpreting existing and upcoming European regulation for the benefit of the CME ETR business, so that we can visualise the future landscape of European regulation and devise our business strategy and client service build-out;• Representing CME ETR at Trade Association, Regulator and Inter-TR meetings and calls, and keeping up-to-date on the latest publications by the FSB, BoE, ODRG and other regulatory bodies;• Authoring CME European Trade Repository’s responses to ESMA, ACER and other regulatory consultations, both public-domain and TR-specific;• Directing our offshore Business Analysis and Development teams so that we scope, prioritise, schedule, monitor and document every change to ensure deliveries which meet both the requirements of regulators and of our clients;• Initiating a Trade Repository data quality review process and subsequently working with Client Services, Software Development and Legal & Compliance, as appropriate, to agree steps to mitigate and / or remediate any issues discovered;• Leading the successful product delivery for EMIR Level 1 Data Harmonisation (Nov 2014), with Level 2 due in 2015;• Acting as Trade Repository lead on CME’s enterprise-level REMIT reporting solution, covering our Trading Venues, our Trade Repository and our client offering;• Contributing to our group-wide and ETR-specific preparations for the challenges of MiFID II / MiFIR.

• Liaising with the Head of Compliance, Product Management and Solution Architect on Trade Repository product delivery;• Attending Inter-TR, ESMA, FOA and client calls, meetings, workshops and events;• Co-authoring, with UVTR Product Manager, client-facing documentation, workflow guides, field specifications and FAQ. Reviewing all internally and externally published documentation to ensure its consistency with the latest updated guidance from ESMA and other regulators;• Creating presentations and providing internal training for all client-facing staff (Professional Services, Support, Client Integration, Sales) on business practices, trade lifecycles and the subsequent field populations for delivery into the TR;• Acting as the first point of reference for all regulatory and business questions from client-facing teams, conducting own research and escalating to Head of Compliance or Solution Architect when necessary. Ensuring all questions are logged into internal system for future reference;• Advising clients on specific regulatory and compliance issues;• Working to ensure UnaVista and client readiness for Phase II of EMIR reporting (August go-live for valuation and collateral reporting);• Working with Head of Client Integration to manage and fine-tune the onboarding process for direct and delegated reporting clients and as well as partner software platforms.

• Providing Professional Services for Executing Brokers, Investment Managers and Prime Brokers trading Total Return Swaps & CFDs on the Swaps Portal matching platform;• Pro-actively developing multi-party agreements between competing counterparties to process additional swap and allocation bookings through Swaps Portal, and thereby increase product revenue generation;• Accelerating trade flow automation by clients (e.g. migration to SWIFT or FIX messaging) to ensure scalability as Swaps Portal market share increased.

ION Trading acquired Rolfe & Nolan in July 2008

• Provided consultancy services, business analysis and project management, as part of a small team of technical specialists, for a wide variety of external and internal projects requiring both in-depth knowledge and hands-on practical skills when providing solutions;• In response to clients' business needs, expanded use of product to new applications – static data, CFD's, aggregated month-to-date postings, three-way reconciliations, carrying forward of breaks;• Conceived, specified and oversaw development of new product components (Statement Delivery and Data Access);• Managed the annual Eurex upgrade project across RANtask's European client base, as part of a team of R&N product specialists, and ensuring go-live readiness;• Responsible for RANtask upgrade projects – reviewing clients' requirements for the new software release, acting as Project Lead and scheduling and co-ordinating Development, Business Test, Quality Control, Documentation and Client Services teams;• Gathering requirements and implementing solutions for new clients, both in greenfield sites and replacing legacy systems – liaising with Sales, Business Analysis, Account Management, Communications and Operations' Support teams;• Delivering all levels of tailored training courses for both internal and external clients, and business and software specialists;• Responsible for relationship management for clients utilising third-party back office platforms.

• Responsible for logging, managing and resolving a heavy workload of client issues on the RANsys European HelpDesk;• Liaised with Account Managers and Software Support team to ensure timely and accurate resolution of issues;• Promoted to Team Leader of a team of four analysts;• Designated as trainer for both external clients and HelpDesk and Account Management personnel, covering the fundamentals of derivatives and the RANsys core system;• Transferred to Technical Analyst role in recognition of business, technical and client-facing ability.