Jonathan Lee Email & Phone Number

Hawkwell, Gb

London, United Kingdom

Sole responsibility for Business Continuity Planning, Disaster Recovery and Crisis Management for over 600 staff across 13 EMEA countries. Co-responsibility for all staff globally (2300).Crisis managemento Incident management framework & playbook o Scenario testing covering loss of site, loss of staff and loss of technology o Real world disaster recovery/incident management including global pandemic (COVID-19) planning and executionBusiness continuity planningo Recovery strategy identification, optimisation, testing and post implementation review o Business Impact Analysiso Development of Business Continuity Planso Exercise & testing - Management of alternate site, simulation exercises and call tree testing with subsequent associated remediation programmes of worko Development of Work Load Swap/Split Operations capability and intra-function cross-training heat mappingo Development of alternate processing strategies and resource demand evaluations DR testing, technology & operational resiliencyo Wide-scale technology change – planning and rollout co-ordinationo Operational resiliency – alignment of end to end critical and important business service provision o DR testing – planning, business user testing design, post-implementation reviewGovernance o Program compliance, risk & Management Information reporting o Review and implementation of adherence to Corporate Program Policy & Standards alongside Regulatory & Industry Best Practiceo Identification & tracking of Operational and recovery risk management via remediation planning o Client, regulator, legal entity board & stakeholder communication framework o Risk assessment, identification and execution of mitigation strategies or risk-acceptance via governance forums/committees Operating model o Design & implementation of global operating & engagement model bringing together Global Realty, Global Security, Global Technology and the business.

London, United Kingdom

Overview: Running point, concurrently managing multiple different roles across a series of high profile ECB regulatory findings including topics as varied as Outsourcing, Market surveillance and Enterprise risk management controls.Select achievements: Decomposition and translation of ECB OSI Final report into a central project plan including task prioritisation, roles & responsibilities matrix and resource allocation. Identification & estimation of size & likelihood of operational, regulatory, financial and reputational risks arising should initiatives not be prioritised.Design and documentation of policy and procedure Advisory Forum whose collective responsibilities include implementing and enforcing the Internal Written Framework, document oversight and governance, collective feedback on Corporate policy change and annual review of all division-wide control documentation (policies, procedures, standards and guidelines).Project management of entity-wide review and attestation of all outsourcing arrangements and associated performance standard documentation.Co-ordination of policy change, review of target operating model procedure and associated controls governing the mandatory absence of all employees in sensitive positions.Review of target operating model, golden source data input and associated controls of recorded lines procedures, record retention and the monitoring/market surveillance requirements of all employeesPolicy and procedure documentation covering FX, securities finance and Global Treasury Market conformity checks.Writing of management information for senior stakeholder group at steering committee meetings alongside progress updates to external regulator.Creation and maintenance of library of all documentation evidencing completion of milestones/requirements.Writing of business case based on strategic requirements for change.

London, United Kingdom

Overview: GDPR Project Manager for State Street Global Markets EMEA. Assumed sole responsibility for delivery of GDPR programme within State Street Global Markets across all work streams including Contracts, Governance and policy, Technology, Operational change, Incident Management and Communications and Training.Select achievements: Completion and maintenance of stakeholder approved Project Management “best practice” artefacts including Project charter, programme plan, governance framework, success criteria, RAID log, regular stakeholder reporting, completion of milestone evidence repository and RACI matrix.Executed successfully on all project plan deliverables within agreed timeframes utilising effective and timely escalation. Completed due-diligence exercise across all Global Market’s vendors, applications & processes to determine the nature of personal data processing being undertaken and the business context in which data was shared, ultimately driving process privacy risk ratings, applications testing/remediation and a vendor contract re-papering exercise.Co-ordinated the dissemination of Privacy notices to all existing clients and counterparts as well as updating new client on-boarding procedures. As Global Markets Business Lead, represented Global Market’s interests at the Corporate GDPR programme level which included challenging objectives, aligning programme deliverables, monitoring Programme assurance vs regulatory requirements and making recommendations for change such as improvements to communication methodologies, transparency and reporting.Writing and delivery of training programme across senior business supervisors to include general GDPR awareness, Data Subject Access Request (DSAR) procedures, revisions to the Incident/Breach Management procedure and role-specific training for Privacy Liaison Officers.Completion of huge data gathering effort as part of the “Article 30 records of processing” solution.

London, United Kingdom

Overview:Completed a 10 week secondment to a series of Middle office & Operations teams within FX and Securities Finance tasked with identifying hot-spot areas of Operational risk, designing appropriate mitigating controls and streamlining manually intensive processes where possible.

London, United Kingdom

Role: Business development and operations changeOverview:Operations and Operations change function lead on a multi-year project to deliver a new business offering trading single stock equity swaps. Specialising in E2E Trade Lifecycle, Corporate Actions, Market and Static data, MIS reporting and an Operational risk and business controls framework. Member of the project board.Select achievements:Business requirements gathering and Vendor statement of work documentationTarget Operating model design encompassing proof of concept initiatives and Vendor platform functional gap analysis leading to tactical and strategic process improvement using waterfall methodology. Use of Microsoft Visio.Planning and prioritisation of critical path initiatives, ultimately driving the completion of key deliverablesFTE capacity modelling and group budgeting Design of exception management, workflow tooling including validation checksBusiness requirement documentation, data mapping, testing and validation of golden source data feeds including security master, security pricing, interest rates, cost of funding rates, FX, Corporate action and dividend incomeMember of the Project BUAT test planning team responsible for design/authorisation of test scenarios, scripts and run books Responsible for complete design and build from the ground up of the Corporate Action Module – incorporating MT564 processing to create exception management, Event Diary and eligible position calculation, position adjustment on Equity/SBL/Equity swaps products, election management and client notification suiteQA and BUAT testing plus defect logging and tracking in Quality Center (QC) /ALM alongside management/prioritisation of remediation work and subsequent testingDesign and testing of all control reconciliations/MIS reporting and all client reports/notifications including daily activity reports and settlement/reset notifications as part of the enhanced Client service offering

London, United Kingdom

Sole Business Analyst tasked with the creation & delivery of a new strategic cash dividend reconciliation platform to support the house cash equity and derivative trading business globally. Agile project.

Manager of two TA/middle office teams who supported the main firm/PB activities of three derivative trading desks Select achievements -• Firm wide ownership, maintenance and control of single stock/index dividends and index composition including MSCI.• Setup/authorise/capture/amend/expire/terminate/novate trade bookings and perform lifecycle management events on Equity swaps, IRS, futures/options, term loans/deposits, cash FX, FX swaps, forwards and dividend swaps.• Founded brain-storming/blue-sky thinking sessions targeting problem sharing/solving and efficiency improvements • Discussion of KPI/KRI metrics with senior management -using a “you can’t manage what you can’t measure” policy.• Track record of identification key control requirements primarily targeting the reduction of operational risk. • Extensive work completed to improve STP trading flows reducing manual processing time • Contribute to loss, near-miss and major incident analysis and introduction of subsequent systematic controls• Career and personal development of all staff including successful promotions and mobility moves internally• Heap map design and implementation to aid team cross-training and identification of key person risk• Good working knowledge of Bloomberg, Sophis, FISS, Summit, Devon, Swapswire and Excel/Word.• FTE capacity modelling and budget planning contributions