Jonathan Le Leu Email & Phone Number

Toronto, On, Ca

Toronto, Ontario, Canada

Sun Life is a global insurance and wealth management business. Sun Life’s headquarters are in Toronto, but the organisation has approximately 40,000 staff operating across more than 20 markets. Director Operational Risk – Third Party Risk Management Project My role at Sun Life is within the global operational risk management team. Since joining the organisation, I have worked exclusively on a Third-Party Risk Management (TPRM) project aligned to complying with OFSI’s B10 guidelines. Key achievements include: • Supported drafting (with stakeholders) the TPRM Policy and Enterprise Operating Guidelines.• Developed risk assessments for evaluating a wide range of due diligence considerations including Subcontracting risk, Country risk and Concentration risk.• Supported and facilitated the development of ongoing monitoring practices including controls development and business guidance on best practice for maintaining TPRM program requirements. • Provided advisory support to project business analyst teams on process development and alignment to B10. • Developed TPRM Job aids and delivered training on these processes to Sun Life business units operating across the world.

Toronto, Ontario, Canada

TSB is the largest regional bank in New Zealand (7th largest by market share). The Bank is headquartered in New Plymouth and for the last 170 years has served the Taranaki region as well as other selected areas through its 22 branches. TSB primarily offers home lending in addition to credit cards, personal loans, term deposits and savings products.My role at TSB was to holistically oversee the Bank’s operational and enterprise risk management activities and ensure alignment to the business strategy and risk appetite as well as meeting specific Board or regulatory expectations. Separately, I also managed the office of the Chief Risk Officer (CRO) which covers all aspects of managing the operational performance of the Line 2 risk function. Key achievements:• Established the first Enterprise Risk function in the history of the Bank and grew the team from 1 to 5 team members alongside a total redesign of core Risk Management artefacts including the Enterprise Risk Management Framework and Risk Appetite Statement. • Implemented the Board’s core risk register referred to as ‘Bank Top Risks’ including the reporting and governance framework to support ongoing risk mitigation activities.• Re-wrote the Operational Risk Management Policy and supporting standards framework. • Built and executed the Director due diligence program supporting the half and full year Financial Statements which included partnering with all members of the Executive team to understand their disclosure obligations.• Re-designed the Bank’s core management level risk governance practices including facilitation of the preeminent Executive Risk Committee.• Deputised for the CRO when required which included managing an engagement with Fitch and driving forward a restructure of the Line 2 business unit.• Implemented a range of staff engagement initiatives which lifted the risk business unit’s engagement score above the Asia-Pacific standard of 71% for financial services.

Auckland, New Zealand

ASB is a full service bank with 5000 staff and 120 branches across New Zealand. ASB is a subsidiary of Commonwealth Bank of Australia. My role was to support all Retail Banking business units through providing practical guidance in areas where I have specialist knowledge which includes financial advice, consumer lending, conduct, regulatory investigations and regulatory change. Key achievements:• Appointed the primary liaison between ASB and CBA during the Australian Royal Commission into banking misconduct• Managed the Retail Banking division’s financial advice breach reporting and related Executive attestation processes including supplying the relevant regulatory returns• Led a compliance project to institute enhanced buyer due diligence controls following the introduction of restrictions on foreign ownership of residential property• Led an assurance project to uplift controls and oversight over the provision of financial advice across all distribution channels• Identified and led a customer remediation project on financial advice disclosure which involved investigating the root cause, introducing system enhancements, and working with stakeholders to identify all impacted customers• Appointed as the Retail Banking division’s ‘conduct lead’ with responsibility for coordinating all the division’s conduct risk management uplift programmes and providing progress updates to the accountable executive• Played a central role in managing mandated regulator onsite inspections (examinations) which included information requests, Executive briefing sessions, and interview support for staff under examination

Auckland, New Zealand

TWGFS was the financial services arm of The Warehouse Group. The Warehouse Group is the largest retail trading business in New Zealand with over 260 retail outlets and 12,000 staff. TWGFS issued Visa and Diners Club credit cards as well as personal loans and insurance products. The business was sold to SBS Bank in 2017.My role at TWGFS stretched across the entire spectrum of regulatory compliance obligations incumbent on a consumer finance business. My areas of responsibility included privacy, responsible lending, financial advice, consumer guarantees and fair trading. I also assisted with Anti-Money Laundering (AML) and broader operational risk initiatives. Key achievements: • Established the compliance function within a start-up environment which included creating the first compliance risk register, implementing controls and assigning ownership across operational teams.• Authored a range of Policies and framework documents including, Compliance, Privacy, Bribery and Corruption and Physical Security for approval by the TWGFS Board.• Developed multiple compliance (including AML) training and test modules for business wide utilisation.• Successfully managed onsite inspection / audit by Scheme partners Diners Club International (Discover).• Managed and maintained successful relationships with key industry regulators covering both consumer lending and AML/CFT.

Auckland, New Zealand

The FMA is New Zealand’s financial markets conduct regulator and has a broad mandate stretching from licensing of financial advisers through to regulating securities markets.My role at the FMA was as an investigator within the regulation division, which is responsible for the full life cycle of conduct assessment, compliance, supervision, and investigation activities. Key achievements:• Successfully completed the first ever prosecution under new legislation requiring specific licensing credentials for financial advisers and in the process secured substantial compensation for customers who were victims of mis-selling by the relevant adviser • Supported a large number of customers who were victimized by a sophisticated overseas investment scam to file claims in Hong Kong against funds frozen in that jurisdiction

Auckland, New Zealand

Wynyard Group was a global technology start up listed on the NZX with the goal of building crime fighting software. The business ceased to operate in 2016 after entering voluntary administration.My role at Wynyard Group was responsible for the global strategic marketing for two products. The first was an anti-money laundering and counter fraud solution targeted at banks and insurance companies. The second was a risk management platform targeted at government departments, financial services and critical infrastructure providers. Wynyard had offices in six regional locations and provided me with excellent insight into the operating model behind technology businesses and the requirements of operating in a 24/7 global business. Key achievements:• Presented at Business User Conferences in Australia, US and United Kingdom • Supported successful product sales in global markets, most notably to a major bank in the UAE • Received high ratings on product submissions to technology industry analysts (Gartner / Chartis / Forrester)

Auckland, New Zealand

The SFO is the leading financial crime investigation and prosecution government agency in New Zealand.My role was generalist position and I worked on a wide range of fraud and corruption cases including: mortgage fraud, investment scams, money laundering, employee theft, bribery and corruption (domestic and international), invoicing scams and gambling manipulation.Key achievements:• Revised the legal framework for the SFO’s participation in international investigations.• Played a key role in the prosecution of a serial con-artist who was wanted in both New Zealand and Australia for deceiving victims into various investments through deception techniques better suited to Hollywood.• Supported a United Nations corruption investigation by tracking illegal payments through New Zealand from various offshore jurisdictions • Supported an FBI money laundering investigation through executing search warrants and conducting interviews with New Zealand based suspects

Wellington & Wairarapa, New Zealand

The IPCA is an ombudsman for the New Zealand Police.My role was within the investigations group providing research and analysis on serious incidents and complaints against the New Zealand Police.Key achievements:• Core team member of a special investigation into the systemic management of child abuse investigations by the New Zealand Police. The findings of the report led to widespread changes in the way complaints were triaged and responded to by the Police.• Supported the implementation of a UN Protocol requiring the inspection of Police detention facilities and minimum standards of care required. • Extensive publication of reports concerning serious complaints against the Police including use of force, accidents and corruption related matters.

Bachelor Of Laws (Ll.B.), Law

Graduate Certificate, Law