John Springett Email & Phone Number

Edinburgh, Scotland, Gb

Edinburgh, United Kingdom

• Responsible for leading a team of FTEs conducting implementation of List entries across Sanctions, AML and CTF. Ensure all entries screen effectively as possible whilst ensuring alert reduction against false matches to optimise hit rate. The team works with List Management teams globally who submit requests to us and I have a strong relationship with each team involving sharing new updates and obtaining feedback of any potential improvements. • Developing, documenting and implementing controls procedures for end to end processing and reconciliations. This also involves working with Global Sanctions teams to implement policies and providing documented back-up to local and global audit teams to show effective screening• Working with external vendors (WorldCheck, SWIFT, Six Financial, Lloyds etc) on screening enhancements• Implement sanctions provided by governments and global regulatory bodies (such as OFAC and HMT) including advising on change requests to amend the screening of new lists• Working with project leads on introduction of new automated screening systems and providing details of system requirements ensuring no loss of screening accuracy. This role also involves testing new Fircosoft releases prior to being released to the bank• Responsible for major changes coming through the BAU team including designing an implementation plan and following through to post-checking. This involves multiple stakeholders including the change requestor, operational teams and quality assurance.• Produce suites of MI showing progress, projects and milestones for sharing at senior forums and to stakeholders globally• Completed ICA course in Financial Crime Risk alongside internal training opportunities

Edinburgh, United Kingdom

In April 2016 I took the opportunity to move companies and job roles to broaden my knowledge within the financial services industry. I became the assistant manager within the WOLF Filter Management change team which seeks to design, test and implement both regulatory and inspirational changes raised from a variety of stakeholders. Within the team I am the technical point of contact for complex requests and have also led training sessions to improve the knowledge of teammates, for which I have received very positive feedback. I have built a network of close relationships including with our global Financial Crime and Compliance team who set screening policies within the bank. Recently, I have become an approver for sanction rules meaning I am one of the last lines of defence to ensure procedures and guidance are adhered to. As a key member of the team, I have led many projects, including the introduction of new sanctions lists whilst also completing daily BAU activities such as creating and implementing rules for the suppression of false sanctions alerts. This is a sensitive task as rules must adhere to policy set by FCC. I am confident with the use of the Fircosoft suite of applications including FML, FMM and FFF classic and have completed training with Fircosoft on all products. Recently I have attended training on people management and have been taking on managerial roles within the team, acting as the team leader when my manager is out of office. On a day-to-day basis I deal with a number of ad-hoc queries, often having to explain to senior management why an alert has not generated or has been suppressed and I work with client relationship managers to explain why a client’s payment may have been stopped. This role has allowed me to build up a strong knowledge of SWIFT products and also the wider sanctions world as I have to keep up to date with regulatory policy.

Edinburgh, United Kingdom

In May 2015 I moved to a Fund accounting role overseeing the end-to-end processing of derivative trades across all JPMorgan EMEA clients. I spoke with clients on a daily basis and support official change requests alongside minor process enhancements. I became the client contact point for JPMorgan Asset Management on derivative issues and had to ensure all communication to them is appropriate and meets expectations. As well as client facing, I was required to oversee the processing of trade bookings, valuations and reconciliations completed in other hubs; this includes completion of error reports and implementation of corrective actions. I was the team lead for a client change to a third party vendor and have assisted in the design, testing and implementation of the new model which went live in 2016. During my time within the team I built an MTM calculator for certain OTC derivatives and have passed on my previous pricing knowledge to make the team more efficient.

Edinburgh, United Kingdom

Internally I took the opportunity to become part of the Equity Derivatives Group (EDG), assisting the Front and Middle office in the set up and pricing of their instruments. Using Eikon Desktop and Eikon Excel have allowed me to create workbooks for instruments we are unable to price automatically and I have similar experience with Bloomberg excel functions and macros. From May 2014 I acted as team leader following my manager leaving and this increase in responsibility allowed me to demonstrate my ability to liaise with senior management and disseminate any information onto my colleagues in the team. One key project I led within the team was ensuring inflation linked bonds were correctly priced as this was a requirement the PRA had outlined to JPMorgan upon completion of their auditing. As part of internal testing, it was my duty to compile and verify reports to pass on to the Oversight Control team. This is highly important as it shows we comply with company and regulatory requirements . As part of my training and development I have completed my IOC level 3 qualification comprising of 3 modules: Introduction to Securities and Investments, UK Financial Regulation and a specialist module of OTC derivatives.

Edinburgh, United Kingdom

As a senior pricing analyst my role is to work with other team members to provide the best possible service to our clients in the Front and Middle Office. I review work of other team members and act as a key contact point between the team and senior management. In addition to my job description in the summary section, I also lead a call between all Market Information hubs across the globe and take a key role in projects assigned to the team.