Luke Hawkridge Email & Phone Number

New York, New York, Us

New York, New York, Us

New York, Ny, Us

Primary compliance coverage for the Banking & Capital Markets division of the US Investment Bank, providing guidance to the business at all stages of the transaction lifecycle, and handling queries related to: information flow management, cross border, conflicts of interest, financial crime and various employee compliance matters (e.g. gifts and entertainment, personal investments, outside business activities and registrations)Represent the Compliance department at several internal governance forums, reviewing / escalating Banking transactions and client relationships for potential regulatory, conduct or reputation risks. Conduct annual and event driven compliance risk assessments and review new / existing products and servicesMaintain an in-depth knowledge of the relevant securities rules and regulations across multiple jurisdictions; review the impact of regulatory changes, industry developments and emerging risks; identify and drive control enhancements to the compliance program, including: policies, standards and procedures; training; and surveillanceAssist in responding to regulatory examinations and inquiries; plan and deliver an annual testing program of risk-based verification checks, utilizing multiple data sources / platforms; support reviews across the three lines of defense, validating the identification and completion of resultant issues and actionsIdentify, investigate and escalate / issue policy breaches; build and present Tableau MI reports to senior compliance and business management stakeholders; lead / support high profile employee conduct investigations, working closely with litigation and external counselDesign / deliver annual and targeted training to the entire Americas IB populationForged close working relationships with, and facilitate regular interactions between, the front office, various compliance teams and functions / infrastructure partnersRepresent the firm / department at a number of external industry forums

New York, Ny, Us

London, Gb

Responsible for supporting the end-to-end design and execution of the Enterprise Wide Compliance Risk Assessment (EWCRA), working closely with regional leads and the global headProvided appropriate check and challenge of key decisions and supported the team in maintaining governance documents, including the EWCRA methodology, terms of reference, SteerCo decks / minutesBuilt trusted relationships with stakeholders across the global function, providing timely support, delivering training and escalating issues of concernProactively identified enhancements to the EWCRA process, including designing and implementing a new scoring methodology more closely aligned to the ERMF which sought to address stakeholder feedbackRecognized for demonstrating effective mentoring and coaching of new joiners and in supporting the team’s summer intern

London, Gb

Worked within the Retail Compliance Product & Technical Compliance Team to support and enhance the compliance culture within Barclays.Provided technical guidance, support and tailored feedback on regulatory issues to both the U.K. Retail Bank and senior compliance management populations, ensuring that new business proposals as well as existing processes, systems and controls comply with regulatory obligations and Barclays' internal policies, purpose and valuesGained experience of undertaking and assisting with internal file and thematic reviews, coordinating regulatory responses from a diverse group of SME’s and supporting senior compliance managementCompliance lead for the activity relating to the transition to dual-regulation by the FCA and PRASupported the business in designing and implementing an operating model for holistic complaints root cause analysis, including the creation of a quality assurance framework to mitigate weaknesses identified in the robustness of controlsLed the development of a new compliance caseload management system, delivering operational efficiencies including the reduction in the need for dedicated administrative support; fostering a greater degree of openness and transparency between the team and the business; and increasing the effectiveness of records management processes

London, Gb

Developed a comprehensive understanding of, and consistently ensured compliance with, the various legal, regulatory and internal processes governing the activities undertaken by the bank including: Sales Quality Standards; Financial Crime (ABC, AML / Sanctions, KYC); Data Protection; and Treating Customers Fairly.Selected to undertake the Barclays leadership development programme.

Mclean, Va, Us

Initially working in a sales role, through strong performance assigned additional responsibilities supporting the department in managing and training a team of eight associates. Activities included quality assurance / ensuring compliance with the respective internal standards, and developing a tailored training and coaching programme.Worked closely with management and legal teams to design telephony sales scripts that conformed to the respective legal and regulatory requirements.

Master Of Laws (Ll.M.), International Commercial Law

Barclays-Cambridge Certificate In Compliance

Ica Diploma In Compliance, Financial Services Compliance

Bachelor Of Laws (Ll.B.)