Lisa Kerr Email and Phone Number

Allen & Overy and Shearman & Sterling officially merged on May 1, 2024, to form A&O Shearman, the world’s third largest law firm.

• Analyse LBG Policies, outlining where policies impact risks and recommending action to enhance compliance.• Policy Traceability: Map policies on to RCSA (Risk Control Self Assessment system).• Horizon scanning of regulation & policy: Provide regular updates on changes to Regulations and Policy to Risk Owners and Operational Control managers, outlining how risks are impacted and suggesting amendments.• Demonstrate compliance to Policies by ensuring key policy requirements are executed correctly and recorded on RCSA as appropriate.

• Secretariat for Risk Committee - I own and manage the timetable for risk MI and committee production• Manage the timely and accurate production of risk MI and committee packs• Engage with stakeholders to understand and manage any constraints on MI provision• Manage the analysis and evaluation of a range of quality information to produce insightful analysis and recommendations around risk MI trends and breach trends• Identify and deliver opportunities for efficiencies in risk MI production• Manage breach reporting and analysis for Customer Services• Implement, or manage the implementation of, projects and coaching needs that arise from breach analysis• Build and maintain effective relationships with key partners across Customer Services, Risk and Control, as well as 2nd and 3rd line teams• Subject matter expert on breaches – ability to be sole representative for the area.

• Support an effective and efficient business risk performance through the monitoring of risk and operational management of controls. • Identify control weaknesses and implement approved solutions to address control failures, undertaking remedial activity as required. • Manage and deliver robust control testing, which is designed to provide a regional and central view of control effectiveness and analyse performance of controls to inform levels of risk appetite. • Support end to end management of channel Breaches & Material Events, ensuring timely identification and escalation of issues, and timely and effective closure of associated actions. • Support in the management of assurance and oversight activity taking place within the channel, reviewing and challenging findings, successfully tracking through to resolution all highlighted actions within agreed deadlines.• Ensure all risk and control considerations, are conducted in line with business strategies and comply with relevant group policies and procedures. • Ensure support to key change initiatives and projects which have operational control impacts and act as key stakeholder on associated projects, ensuring the control positions are fully understood and adapted in line with current business requirements. Support the Operational Control Support Colleagues building strong relationships with key stakeholders within Contact Centres to appropriately deliver key risk requirements • Identify and assess site emerging risks through appropriate root cause analysis, especially those resulting from internal change and external market and customer trends, and act to mitigate these.

• Support Mortgage Telephony during a time of significant change to enable effective decision making and challenges to support improved delivery of compliance outcomes post-MMR.• Support and ensure an effective and efficient business risk performance through the monitoring of risk and operational management of controls. • Identify control weaknesses and implement approved solutions to address control failures, undertaking remedial activity as required. • Design and deliver robust control testing, which is designed to provide a regional and central view of control effectiveness and analyse performance of controls to inform levels of risk appetite. • Support in the management of assurance/oversight activity taking place within the channel, reviewing and challenging findings, successfully tracking through to resolution all highlighted actions within agreed deadlines.• Support the channel in the delivery and ongoing management of Mandatory Training requirements.

• Deliver operational risk and control for Northern Ireland &North West Service, delivering improvements to the control environment in line with LBG visions and values• Collate and/or interrogate all available MI to understand the effectiveness of key controls and to monitor compliance, reporting key findings by exception to Regional Risk Committee• Provide challenge at Regional Risk Committee and support regional management team to put the appropriate actions in place to deliver desired outcomes• Identify gaps in the control environment and take appropriate steps to mitigate risks, reporting key risks and material events and progressing actions to completion• Provide assurance to Head of Region that the control environment of NI & NW Service is being managed effectively• Support the delivery of change from Risk, translating into operational language and support key change initiatives which impact operational control deliverables• Build and maintain strong relationships with key stakeholders in the regional management team as well as in Risk, Operational Development and Support, HR, etc.• Raise profile of Operational Control and develop a culture of risk advocacy• Ensure regional management team are aware of their responsibilities as the first line of defence, providing support and guidance as necessary

• Align heritage reports and escalation policies to deliver the LBG “one best way”.• Engage with Operational Control Senior Managers to support delivery of risk reports within deadline and to the appropriate quality.• Produce the monthly Direct Channel Risk Summary, working with key stakeholders across Direct Channels.• Support the delivery of annual Control Self-Assessment, working with the Head of Operational Development and Channel Risk Partners.• Track and drive completion of all Control Actions for Direct Channels, reporting directly to the Risk Director and Head of Operational Risk on progress.