Nathan Smith Email & Phone Number

Responsible for coordinating Surveillance’s engagement with regulators, Internal Audit, external auditors and consultants, and Compliance Assurance, ensuring Surveillance’s control framework is effectively maintained and continuously enhanced. Responsible for upholding and developing Surveillance’s governance standards as well as helping Surveillance to detect and deter market abuse, inappropriate trading and other market conduct risks.

London Area, United Kingdom

Senior lead for all AIBC Business Risk related matters, including Non-Financial Risks, specific Private Side Controls, enhanced client and banker enablement initiatives as well as wider efficiency initiatives. Business specific Information Control training for AIBC as part of upskilling staff and addressing root causes for 3rd LoD findings – with clear milestones and well signposted completion dates.Strong collaboration and thought leadership across the 3LoD, including Regulatory… Show more Senior lead for all AIBC Business Risk related matters, including Non-Financial Risks, specific Private Side Controls, enhanced client and banker enablement initiatives as well as wider efficiency initiatives. Business specific Information Control training for AIBC as part of upskilling staff and addressing root causes for 3rd LoD findings – with clear milestones and well signposted completion dates.Strong collaboration and thought leadership across the 3LoD, including Regulatory Compliance, IT, Resilience Risk, Legal, BIRO’s, Cyber Security, MSS, WCOO and Group.Ensuring appropriate governance and oversight mechanisms are in place across AIBC & the wider WCOO and GB landscape, enabling and supporting executive decision makers to manage their Non-Financial Risks risk to within appetite. Show less

London, England, United Kingdom

Ensuring appropriate Governance and oversight mechanisms are in place across Global Banking ("GB").The role involves leading a team of Private Side Risk Governance and Reporting professionals based in London with functional oversight for resource in Bangalore.GB global lead for Federal Reserve Bank ("FRB") Sales Suitability implementation, including liaison with Internal Audit, IT, and the wider MSS FRB remediation programme.GB global lead for Control of Information remedial… Show more Ensuring appropriate Governance and oversight mechanisms are in place across Global Banking ("GB").The role involves leading a team of Private Side Risk Governance and Reporting professionals based in London with functional oversight for resource in Bangalore.GB global lead for Federal Reserve Bank ("FRB") Sales Suitability implementation, including liaison with Internal Audit, IT, and the wider MSS FRB remediation programme.GB global lead for Control of Information remedial activities, including Public, Private Tagging, JML controls, Register Owner seniority, and increased use of robotics as preventative control(s).GB lead for Prudential Regulatory Authority Continuous Assessment Monitoring inputs and consolidation.Global Issues and Actions management owner, ensuring timely paths to closure and appropriate oversight and escalation through Governance.GB global lead for Policy and Procedural implementation via GB ‘MAOM’.GB lead for cloud based AVC implementation, including Zoom, MSTeams, and alternatives such as in-house SIP URI enabled approaches. Acting as fulcrum between IT, Cybersecurity, Regulatory Compliance and Resilience Risk ensuring solutions delivered fall within risk appetite. Show less

Empowering and leading a team of Risk Professionals with a remit for Governance and Policy oversight across Global Markets Operations.Responsible for ensuring appropriate Governance and Reporting standards are in place enabling decision makers to manage risks to within appetite up to and including SMR level, Global Market Operrations senior lead for response and remediation activities in respect of AML Third Party Payments audit findings, Curation and delivery of Thematic Risk based… Show more Empowering and leading a team of Risk Professionals with a remit for Governance and Policy oversight across Global Markets Operations.Responsible for ensuring appropriate Governance and Reporting standards are in place enabling decision makers to manage risks to within appetite up to and including SMR level, Global Market Operrations senior lead for response and remediation activities in respect of AML Third Party Payments audit findings, Curation and delivery of Thematic Risk based intelligence including forward looking and falling due Issues and Actions, Global Market Operations lead for Middle Office boundary changes ensuring that movement of resource and systems remained within appetite and met appropriate control toll gates.GMO lead for Risks in The Trade Lifecycle exercise, ensuring risk and controls became embedded, and aligned to culture and conduct uplift.Demonstrable track record of building and developing emerging talent. Show less

Leadership of large split site Fixed Income Teams, across Malaysia and the Philippines, circa 100 FTE. (a) Functional coverage for Trade Date Processing, Clearing and Settlements, Reconciliations, and Interest Claims, (b) build out of local managerial bench strength, (c) multi balance sheet responsibilities , including HBUS, HSI, HBEU, HBFR, and HBAP, (d) delivered a 50 % increase in offshore footprint and attendant reduction in hub site costs.

Management of Clearing & Settlements for HBEU balance sheet, circa 45 FTE, (a) responsible for material year on year reduction of Operational Incidents, resulting in lower costs to business improved client relationships, (b) responsible for reenergising London based staff, and robust performance management, (c) reduction in costs and headcount, (d) lead GMO repo regulatory interface with Bank of England.

Led and managed a team of 40 FX Options, FX operations teams across Hub site and near shore locations.

Led and managed a Credit Default Swap confirmations drafting team.