Lesley Higgins

Lesley Higgins Email and Phone Number

Executive Director - Compliance & Operational Risk Control - JP Morgan | Credit Suisse | Barclay's Capital | UBS
Lesley Higgins's Location
London Area, United Kingdom, United Kingdom
About Lesley Higgins

Experienced and dynamic individual who has worked within Tier 1 financial institutions. JP Morgan, Credit Suisse, Barclay's Capital and UBS. I have experience in delivering against a very diverse portfolio of products, processes and risk disciplines including Risk appetite assessments, Taxonomy assessments, Risk control self-assessments (RCSA), Key risk indicator and key performance indicator assessments (design and operating effectiveness), Issue and Event management oversight and challenge (internal and external), Annual operational risk taxonomy assessments, Dynamic risk assessments, Thematic reviews and Look across reviews, Compliance risk assessment, Input and escalation into Group Risk Reporting along with undertaking numerous ad-hoc risk reviews delivered at very short notice for Senior Management. A very highly experienced Compliance and Operational Risk Control (C&ORC) and Business Risk Management (BRM) Professional both within 1st and 2nd lines of defense. My areas of coverage and responsibility are across the Group Functions (HR, Comms and Branding, Group Company Secretary, Group Regional Presidents, Board of Directors and CEO Management), including being the Taxonomy Lead for Employment Law and HR Practices, Group Investigation's, Whistleblowing and Group Corporate Governance. Additionally, I have also been responsible for Primary Risk Taxonomy coverage for Group Asset & Liability Management, Group Treasury, Market and Credit Risk. My primary responsibility is oversight and challenge of the Group Functions risk profile including identifying, assessing and reporting on material operational risks along with performing regular Taxonomy assessments to ensure material risks are escalated, reported and mitigated to within the firms risk appetite in accordance with the Firms Operational Risk framework.Within 1 LOD, was responsible for the coverage of IB Operations OTC Derivatives Business Risk Life Cycle Event Management and subsequently appointed as the Sanctions Screening Lead for the EMEA region. As an individual, I demonstrate good communication skills at all levels, high attention to detail and self motivated with an ability to meet deadlines and work under pressure. I am recognized as a flexible, adaptable and resourceful individual who can slot into numerous roles and deliver against diverse programs of work. Proven track record of people leadership, management, development and mentoring along with senior stakeholder engagement (engagement/management of cross-functional teams).

Lesley Higgins's Current Company Details

Executive Director - Compliance & Operational Risk Control - JP Morgan | Credit Suisse | Barclay's Capital | UBS
Lesley Higgins Work Experience Details
  • Ubs
    Ed - Compliance & Operational Risk Control
    Ubs Jul 2015 - Aug 2024
    Responsibility: Group Functions Compliance & Operational Risk Controller 2nd Line of Defense, providing oversight and challenge of Group Functions risk profile including; - Review of Issues and Events (including escalation and reporting into the Group Risk Report) - Facilitating Annual Operational Risk Taxonomy Assessments - Key attendance and input into the annual RCSA process- Coverage: Compliance & Operational Risk Controller and Taxonomy Lead covering Primary Risk Control (Market, Credit, Treasury and Group ALM), HR, Group Compliance Regulatory and Governance, Group CEO Management, Board of Directors, Group Regional Presidents, Comms & Branding, Optimus Foundation & Group Sustainability & Impact.
  • Barclays Investment Bank
    Vice President - Operational Risk Management
    Barclays Investment Bank Jan 2012 - Feb 2015
    United Kingdom
    New Business and Product Governance2nd LOD Risk Control (RCSA and Control Standards)1st LOD Risk Control for Collateral, Liquidity & Funding
  • Credit Suisse
    Vice President - Operational Risk Management
    Credit Suisse Aug 1997 - Oct 2011
    United Kingdom
    IB Operations Derivatives Transaction Lifecycle ManagementSanctions Screening EMEA Lead 1st LOD Risk Control IB Operations
  • J.P. Morgan
    Team Lead
    J.P. Morgan Apr 1989 - Aug 1997
    London, United Kingdom
    FX OperationsExpense Accounting

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Lesley Higgins's current role is Executive Director - Compliance & Operational Risk Control - JP Morgan | Credit Suisse | Barclay's Capital | UBS.

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