Lee Baker Email & Phone Number

Rayleigh, Gb

New York, Ny, Us

EMEA lead for Market Regs-Supervise daily activities of the team and ensure deliverables are being met in a timely manner.-Provide governance, supervision and escalation oversight on a day to day basis.-Work with legal, compliance, BU, operations and tech to review upcoming regulations, create solutions, drive consensus and oversee implementation in systems and process.-Ensure that European regulations are correctly adhered to with controls established and implemented.-Management and production of key KRI’s and KPI’s-Lead, mentor and develop team.-Senior level stakeholder management.-Manage small and large scale regional change initiatives.Regulations covered;EMIR / MIFID / SFTR / FINSA / DFSA / QFCRA / EBR / MSSA.

Zurich, Ch

Oversight of our vendor team who are performing KYC reviews for existing clients in Global Markets. Ensuring the team are meeting deadlines and acting as point of escalation for the team as well as the front office. Regular interaction with FCC, CID, FO sales, COO’s and clients. Holding regular calls with the team, identifying problem cases and stepping in to ensure resolution to allow to complete cases within the regulatory requirement

Zurich, Ch

Oversight of two teams (London & Pune) who are performing KYC reviews for existing clients in Global Markets. Ensuring the team are meeting deadlines and acting as point of escalation for the team as well as the front office. Regular interaction with FCC, CID, FO sales and COO’s and clients. KYC Refresh

Zurich, Ch

Point of contact for all EMEA Regulatory related client engagement, working with key stakeholders to prioritise remediation work, monitor exceptions and analyse client impact for upcoming regulatory pipeline.Managing the Reporting On Behalf Of (ROBO) setup for clients. Dealing direct with clients, liaising with legal and FO to ensure requests are completed in a efficient and timely manner.Managing the EMIR Port Rec adherence to PRDR protocol, working closely with FO and our clients. Working on EMIR mandatory clearing, and the recent Swiss FinfraG regulation. Working with project teams on upcoming EMIR RTS 2.0 and MIFID II outreach for LEI's and other components to the regs. EMEA point of contact for MIFID II ready to trade. Oversight of vendor staff in offshore location.Management of 30+ vendor staff located in Pune performing KYC ODD reviews. Ensuring targets are met and team is positioned correctly to manage workload.

Zurich, Ch

Provide support for Equity Sales within the EMEA region for On-boarding new clients to the firm, Extending existing relationships within the firm.-Provide full assistance to Front Office Equity personnel on a/c opening including KYC, Credit and Legal processes. Gathering of docs: Certificate of Incorporation, UK FATCA, US FATCA, AEI CRS-Understand and communicate a/c structures to Front Office Equity staff, liaise with Client (and sales personnel whereappropriate) to obtain required information, and coordinate delivery of appropriate documentation to Client ID, Credit, orLegal as appropriate-Become subject matter expert on regulatory framework driving account opening processes for Equities, and keep abreastof associated changes

Zurich, Ch

The role involves managing the Legal Linkage Key exception process when trades can’t obtain a key between the Master Agreement and the Collateral Annexes.Monitor generation, trade management and fobo breaks via exception management systems.Investigation and resolution of all exceptions within tight deadlinesLiaise with partners across LCD, Operations, Front & Middle Office and IT towards improved data qualityIdentify quick wins and tactical improvements to improve data quality and accuracyManage team of 4Perform 1-2-1's, set objectives, hold regular team meetings.

Zurich, Ch

Working closely and advising Global Money Market Desk intraday on any large swings to positions in all currencies under teams remit, so as to maximise the firms cash to its full potential. Interface with other divisions, in particular other Cash Mgmt regions. With all Operations departments to ensure accurate information provided to Cash Management in a timely mannerManage Intraday Liquidity - Proactively monitor and control cash balances throughout the day to effectively support settlement. Forecast Forward Positions - Collate, validate and communicate forecast cash balances of firm nostro accounts and limited client accounts to enable funding requirements to be determined. Manage Residual Cash Balances: Consolidate cash balances. Calculate and communicate to FO overnight placements / borrows with agent banks. Minimise nostro balances to minimise interest cost. Systems included TLM and EUCLID

Zurich, Ch

Ownership of DTCC Outgoing queues, deleting routes where necessaryManual Upload of non STP trades to DTCCOwnership of DTCC Onboarding queue, responsible to updating CS static date and setting clients up to process trades on DTCC. Affirmation of trades in Onboarding queue. Assist outsourced team in India with manual amendments to trades. Respond to client chasing queries in a timely mannerQuery resolution involving Legal, Front Office and external counterparty’s liaisonDeliver proactive, prioritised service to KAM clients.Liaise with front office, middle office and other departments, when additional information is required.Liaise with global OTC External Validation colleagues to ensure consistent application of processes and procedures.Submit ideas for the improvement of existing controls and procedures including identifying opportunities for efficiencies. Organise and prioritise workload, be aware of deadlines and ensure that they are met.Comply with product/process specific regulatory and internal procedures including escalation of control related issues as appropriate Participate in the testing process for upgrades to the confirmation systems.Review and provide input for Strategic Change and Operational Risk Management Improvement Business Requirements. Upload of weekly copper file.

Zurich, Ch

working on an established project two years in, to change the front to back process of settlements cash, eliminating one system that stores trade facts and source direct from the front.. The role involves weekly meetings with IT / Middle office / Settlements / PC to discuss project status, latest products to work on and targets for year end. In the role im producing front to back Control models, Setting up test packs for new products to be tested prior to go live, liaising with the business to sign off test packs. Work with all affected areas to ensure smooth migrations to the “to be” state and provide overviews. Also assisting with other members of the team reviewing analysis they have produced using my SME settlement knowledge.

Zurich, Ch

Managing a team of 49 FTE in Pune (eclerx)and 2 FTE in London working across OTC products. Ensuring the team agree all OTC cash flows with clients via means of telephone calling & E mail advices in a timely manner prior to cut-off. Being aware of funding deadlines and prioritising accordingly. My main tasks included: Holding daily calls with Pune management, assessing the day / week ahead in terms of volumes / staffing etc. Setting targets around pre confirmation rates, and break resolution rateHolding weekly break meetings ensuring all senior management targets are met.Ensuring they are kept in loop on all Industry Initiatives in London / US.Working with VP’s / Directors in London / NY / Asia to discuss further work that could potentially migrate to Pune. Visits to Pune to meet teams, work on streamlining the way the work to free capacity for more deployment.

Zurich, Ch

Managing a team of 4 people on the Electronic settlements team. This included 1-2-1’s, objective setting etc. Ensuring the team met targets in terms of breaks, and appropriate escalation was performed. Assisted in escalations of items from the team to MO / Trading to ensure fast resolution.Working on setup of new products / clients on onto the DTCC globally, liaising with I.T to ensure static was setup accordingly and approaching clients to talk them through the DTCC process and try and encourage them to onboard.Attending regular DTCC calls on new initiatives / products that were coming up. I was involved in the Equity Cashflow Matcher attending weekly working groups with the fed14 banks. Ensuring CS points were put across along with the other banks

Zurich, Ch

Non CSI Setts Manager: Managing a team of 6-8 people working across OTC products. This included 1-2-1’s, objective setting etc. Ensuring the team met targets in terms of breaks, and appropriate escalation was met. Assisted in escalations of items from the team to MO / Trading to ensure fast resolution Ensuring they agree all OTC cash flows with clients via means of telephone calling & E mail advices, being aware of funding deadlines and prioritising accordingly. Controlling the Nostro breaksCDS Roll TeamLeader: Work on Pre confirming all CDS coupons for the quarterly roll using the DTCC PayRec tool, exchanging spreadsheets with clients working on the exceptions holding calls. Working to reach the highest % match rate possible before PayRec lockdown. Post lockdown working to a tight deadline to lock down all nets inside out payment system, Getting in early prior to users accessing system, sometimes 4am, and working late till midnight till all nets were lockdown. Once these were locked we turned out attention to the Non DTCC cashflows, pre confirming bulk spreadsheets via means email and calls.After each roll review all cashbreaks split out amongst the team and set weekly deadlines and resolve in a timely manner.

Zurich, Ch

Reconciliation of daily cashflows, Initial and Variation Margins and interest to London Clearing House ReportsPosting of the portfolio PV, interest of cash deposits and fees to Nostro, whilst working within the funding deadlinesPrepare / Review outgoing SWIFT ConfirmationsManage the matching of Confirmations through the Accord SystemDeal with settlement, confirmation and Novation queries until resolutionAct as main contact for the London Clearing House, Front Office, Collateral, Cash and Investigations, and the other Client Focus Groups

Zurich, Ch

Check all incoming confirmations and relate them to the relevant CSFB trade details- Deal with customer queries regarding incoming and outgoing confirmations Verifying and correcting any mismatches on trades with clients, the sales desk and or traders Chase clients for outstanding confirmations

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