Matthew D. Email and Phone Number

Building a Financial Crime Framework across Barclays UK, particular focus on business units with financial crime frameworks outside of tolerance. Key responsibilities• Responsible for facilitation and delivery of t outstanding financial crime control enhancement programmes across Barclays UK.• Oversight of completion of a major financial crime remediation projects with particular focus on business banking.Key achievements• Oversight of control assessment for Financial Crime across Barclays UK, working with and providing guidance and challenge to both the Business and Financial Crime Advisory as required.• Guidance and direction on all matters relevant to financial crime prevention, covering anti-bribery and corruption, anti-money laundering, sanctions and tax avoidance facilitation. includes escalating significant matters promptly, providing additional information, analysing/interpreting legal, regulatory and internal policy/procedure issues. Liaising with financial crime, legal and compliance as required.• Providing controls office guidance an oversight to fraud.

Provided guidance and direction on all matters relevant to Financial Crime prevention including escalating significant matters promptly, providing additional information, analysing/interpreting legal, regulatory and internal policy/procedure issues. Liaising with the Financial Crime advisory team as required.Coordinated Financial Crime activity between the various businesses within Wealth Management & Investments (WM&I) including the Financial Crime Risk Assessment and Financial Crime control with RCSA.Represented W&I on Financial Crime issues to second line and liaise with relevant programs/projects and stakeholders in regards to Financial Crime issues. Led in the collation of MI and reporting for a number of Committees and forums. Attended and contributed to relevant Financial Crime governance forums ensuring all Principal Risk, Group and BIA are discussed & acted on accordingly.Worked in partnership Business Delivery and Control heads, W&I CCO’s, 2nd and 3rd lines to deliver key strategic objectives and create a collaborative and performance led culture.A member of project steering committees for all relevant Regulatory Change and business assurance projects as required.Contributed to the medium / short term planning process to ensure that Financial Crime Regulatory Management Change initiatives are properly reflected and accounted for in the business.Ensure that all Financial Crime activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Barclays Policies and Policy Standards.

Business risks lead for Financial Crime, in particular anti-money laundering (AML), Sanctions, and ABC matters. Developing strategic solutions which combine business needs with regulatory and internal requirements; in particular in regards to the target operating models and BICEP.Produced the Financial Crime and Information Risk Management Risk Assessment working in conjunction with the team completing the Operational Risk Risk and Control Self Assessment (RCSA)Responsible for the adherence of regulatory requirement for Professionalization, including approval for reclassification of clients.Co-ordination of Financial Crime Project and Issue to ensure timely delivery.

Responsible for impact analysis and coordination of Regulatory change impacting the Products Area.Responsible for the reengineering of the risk framework components for the Products DepartmentLiaison to the Banking, Derivatives, Funds and Portfolio Optimisation Product owners for all matter relating to risk or business management.Redeveloped the complaints handling and service enhancements process.Facilitated the risk assessment for UK Banking Products, Internal and External Funds and Portfolio Optimisation and Derivatives.Chair of the Product risk forums for Banking, Derivatives, Internal and External Funds and Portfolio Optimisation.Assessing and implementing the requirements for supervisory framework, Training & Competence and mitigation of Market abuse within the Products areas.

Head of Business Control and Governance (BCG), International Private Bank London (IPB).Drafted and implemented the suitability requirements for Private Banking business.Managed the Training and Competency framework.Oversaw the implementation of the supervisory framework for Private Bank.Disciplinary and Grievance Investigating Manager. Production of the risk and control self assessment (RCSA) for the PB business in London.Chair of the IPB Risk Forum.Development and implementation of enhanced risk based MI for business heads.Co-ordination of the successful remediation of an Internal Audit.Co-ordination of business unit interaction with Internal and External auditors. Responsible for testing to ensure regulatory standards are being met.

Deputy to the Director Operational Risk Management.Responsible for managing the ORM team (5 people)Assisted the Director in the re-engineering of the Department, reducing cost and increasing effectiveness..Introduction and implementation of risk and control self assessments (RCSA), process maps, control matrixes and redefined KRIs. Implementation of a enhance process for the management and investigation of Operational Risk Events, including the assessment of potential regulatory breachesDeputy Chair of the Operational Risk Committee.Deputy Chair of the New Business and Client Acceptance Committee.Member of the Enhancement Review Committee, which assessed and prioritised system and process development requests.Worked as part of the team to review and rewrite the ICAAP, including the articulation of the Risk Appetite and Stress Testing.

Developed a Risk Department from an embryonic function to a key section within the effective and efficient Corporate Governance of the UK Regulated Entities. This included:- The reduction of the team from 8 administrators to one of 4 analysts.- The introduction of risk management processes and controls in the business across credit, market and particularly operational risk, across a broad range of financial products. - The development of effective, appropriate and proportional management information and controls. Developed measures to meet regulatory requirements, specifically playing a lead role in the MiFID and CRD projects. This included drafting the ICAAP submission, the Order Execution Policy and the Suitability and Appropriateness Policy. Established MIS reports for the UK Executive Committee and UK Board.Worked with the Compliance Department to investigate specific regulatory issues and implement remediation plans, these include projects on depolarisation, ‘Treating Customers Fairly’ and ‘Know your Client’ issues.Training of all staff on the implications of Risk, getting ‘buy-in’ from sales teams and achieving a reduction of risk exposure and the adherence to risk policies and procedures. As an example, the reduction of the debtors by 66% in four months.

Reengineered the Operations function reducing the team whilst increasing effectiveness, for example straight through processing rate (‘STP’) rate increased from 76% to 94% and failed trades dropped by 23%.Managed the settlement of all trades across a range of product lines, including cash equities (UK and International) in both the primary and secondary market, fixed income, derivatives (OTC Derivatives, Contracts for Difference, Financial Spread Bets) and across all client types (Retail, Professional and ECP) Reviewed all client documentation (both account opening documentation and Know Your Client Data) and ensured compliance with existing regulations.Completed negotiations with outsourced vendors and settlement agents to allow trading in markets previously excluded whilst reducing cost and increasing efficiency.Introduced greater controls by the development on improved reconciliation and MIS in such areas as stock and cash exception management, failed trades and debt management.

Development of Operational Controls across all products/areas within cash equity settlements, finance, treasury and middle office. Prepared the roll out of the system for OTC derivatives and all other areas of the Company.Responsible for development and implementation of the reconciliation and cash management systems (InteliMatch & IntelliTracs) that enhanced the reconciliation of cash and stock accounts internally and externally.Worked on the development of risk analysis and evaluation procedures in preparation for the implementation of CRD.

Management of the settlement of international cash equity trades. This included stock lending activity and the settlement of hedges for Contracts for Difference. This initially encompassed a team of 20; however this was reduced by 25% with improved efficiencies and processes.Responsible for the resolution of all fails, cash and stock breaks as well as correct funding of accounts.Re-engineering and business process re-design, enabling a greater number of transactions to be settled (volumes increased from 12,000 to 35,000 per month) whilst reducing the number of fails and breaks, in particular aged items. Negotiations with Custodians, setting up new relationships in Europe and the USA to improve service and reduce costs.Introduces MIS to provide controls and qualify all breaks and fails.

International Equity Settlements Team Leader with a specific focus on developing relationships with Custodians to improve performance and reduce settlement issues.Operational Graduate Scheme including three-month rotation periods in Cash Equities, Stock Lending and Network Management. International Cash Equities Trade Matching Team LeaderUK Equity Crest Settlements Clerk

Briefing of senior political and military personnel on nuclear issues in the Ministry of Defence having analysed results and overseen a team of strategic programmers and operators.(Acting) Second in command of a nuclear submarine with specific responsibility for tactical systems, warfare and navigation. Part of the RN liaison team during the build of a Nuclear Submarine, with a specific remit for operational matters. This involved working with the shipbuilders and other suppliers during this complex project, specifically the planning of all Operation matters with the aim of accepting the vessel into active service.