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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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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