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London, England, United Kingdom

Protiviti is a global management consultancy offering a full range of services across regulatory compliance, business process improvement, internal audit and technology. I work within the risk and compliance function focussed on Financial Services regulation. Some of the areas I have worked in include:ComplianceClient Money / Assets & SafeguardingMarket AbuseTransaction ReportingComplaintsRisk and ControlInternal Audit Counterparty Credit RiskTarget… Show more Protiviti is a global management consultancy offering a full range of services across regulatory compliance, business process improvement, internal audit and technology. I work within the risk and compliance function focussed on Financial Services regulation. Some of the areas I have worked in include:ComplianceClient Money / Assets & SafeguardingMarket AbuseTransaction ReportingComplaintsRisk and ControlInternal Audit Counterparty Credit RiskTarget Operating Models Show less

London, United Kingdom

Consultancy Principal for Financial Services Key Assignments:Project Management - business migration across legal entities - BREXIT & T2SGDPR / PSD2 & Data StrategyFront to back trade efficiency review across global markets productsDesign of Target Operating Model across a payments firm

London, United Kingdom

CONTROL•Responsible for a global team covering control matters for Operations, including the management of 50 people across Singapore; Dublin, Raleigh, US; India; Poland; and London•Coverage of the control framework, SOX, risk and control self-assessment, incident review, KRI and KPI analysis and balance sheet attestation•Designed and implemented global metrics reporting inclusive of KPI, KRI, OLA and SLAs to reduce operational risk and improve management oversight•Designed the… Show more CONTROL•Responsible for a global team covering control matters for Operations, including the management of 50 people across Singapore; Dublin, Raleigh, US; India; Poland; and London•Coverage of the control framework, SOX, risk and control self-assessment, incident review, KRI and KPI analysis and balance sheet attestation•Designed and implemented global metrics reporting inclusive of KPI, KRI, OLA and SLAs to reduce operational risk and improve management oversight•Designed the cash and collateral control model for global futures•Removed $3b from the US balance sheet by designing new inventory processes•Recovered £4m of VAT and reduced US exchange expenses by $5m•Implemented a new sub ledger for futures CASS•Owned and managed the end-to-end segregation process for $8 billion of client money•Automated Credit Suisse’s (CS) normal client money process covering $8 billion of client money and the related CMAR and CASS RRP•Managed the client assets calculation process for the alternative method across multiple functions e.g. Asset Servicing, Collateral, Custody, Cash & Liquidity Management and Listed Derivatives•Implemented first line of defence testing•Responsible for investigating, escalating and resolving CASS incidents•Presented the monthly reporting packs to CASS governance•Responsible for mapping regulations to controls and developing related metrics•Performed a CASS advisory role, e.g. advised management of the consequences of moving client money across legal entities and the consequences of moving processing to a utility/service company•Responsible for processing of USA equivalents of the UK’s client asset rules i.e. the CFTC’s Segregated, Secured and Sequestered rules Show less

London

•Management of the European Cleared Derivatives Operations (listed derivatives and OTC cleared derivatives), which consisted of 70 staff, split across two locations. This included clearing, reconciliations, client service, collateral, deliveries, accounting, static data and change (which included regulatory change e.g. Mandatory Clearing, Transaction Reporting, ISA accounts etc) . •Responsible for European Listed Derivatives processing including the normal method of Client Money… Show more •Management of the European Cleared Derivatives Operations (listed derivatives and OTC cleared derivatives), which consisted of 70 staff, split across two locations. This included clearing, reconciliations, client service, collateral, deliveries, accounting, static data and change (which included regulatory change e.g. Mandatory Clearing, Transaction Reporting, ISA accounts etc) . •Responsible for European Listed Derivatives processing including the normal method of Client Money. Responsible for global control matters as described above•Centralized global balance sheet sign-off processes•Automated and ‘derisked’ the UK Client Money processes•Addressed regulatory reporting inefficiencies and inaccuracies Show less

London

•Management of collateral teams in Europe (UK and Poland) covering approximately 50 people. The main products collateralised were derivatives and repos. The collateral consisted of $180 billion worth of bonds and cash and I was responsible for the related, bookings, payments, settlement, custody, optimisation and reconciliations. •Transformation of a material processing area, achieving 30% staff reduction in a period in which volumes increased 40%•Collateral revenue enhancements, worth… Show more •Management of collateral teams in Europe (UK and Poland) covering approximately 50 people. The main products collateralised were derivatives and repos. The collateral consisted of $180 billion worth of bonds and cash and I was responsible for the related, bookings, payments, settlement, custody, optimisation and reconciliations. •Transformation of a material processing area, achieving 30% staff reduction in a period in which volumes increased 40%•Collateral revenue enhancements, worth $70m•Operations leader across all Credit Suisse UK entities for the FCA’s Supervisory Liquidity Review Show less

Singapore

•Responsible for Collateral and Client Statement functions across Asia, with teams in Singapore, Tokyo, Sydney and Seoul•Created the global Collateral Control team, located in Singapore•Delivered systems and processes to calculate and allocate collateral P&L •Created a global front office-based pricing team for the Client Statements function

Singapore

•Responsible for coupons, dividends, mandatory and voluntary corporate events across Asian and European legal entities and collateral processes•Restructured the Asset Servicing department to a functional model and created a dedicated Prime Brokerage aligned team•Removed $4b from the balance sheet using metrics as a management tool

Singapore

•Responsible for Asia Collateral Management, Interest Claims, Stock Borrow Loan interest and rebates, Soft Dollar Commissions, Cash Management, Client Statements and Expense Management of global brokerage, bank, exchange and custody charges•Implemented systems to calculate and invoice agent bank, exchange and brokerage expenses (the total expense captured exceeded $1b)•Restructured the chart of accounts to improve expense transparency•Increased interest claim recoveries from $2m to… Show more •Responsible for Asia Collateral Management, Interest Claims, Stock Borrow Loan interest and rebates, Soft Dollar Commissions, Cash Management, Client Statements and Expense Management of global brokerage, bank, exchange and custody charges•Implemented systems to calculate and invoice agent bank, exchange and brokerage expenses (the total expense captured exceeded $1b)•Restructured the chart of accounts to improve expense transparency•Increased interest claim recoveries from $2m to $6mCASH MANAGEMENT•Responsible for cash management across CS’s Asia Pacific legal entities. All major currencies and many less liquid currencies were funded. I was responsible for a team of seven people and for the calculation of the expected cash balances at CS’s agent bank network. My team worked with Trading, who executed deals in the market; my team were responsible for processing the deals (making bookings and payments). Show less

London

• Systems implementation, allowing for 35-fold volume growth

Sydney, Australia

Corporate Taxation, Audit, Business Consultancy:o Valuation of privately held businesseso Review of management remuneration packageso Review of business legal structureo Due diligence work on takeover targetsResponsible for the end-to-end audit process, including:o Scoping/planning/budgeting o Staff management o Responsible for preparing detailed process reviews and identifying the key controls for testingo Writing the ‘management letter’ covering identified… Show more Corporate Taxation, Audit, Business Consultancy:o Valuation of privately held businesseso Review of management remuneration packageso Review of business legal structureo Due diligence work on takeover targetsResponsible for the end-to-end audit process, including:o Scoping/planning/budgeting o Staff management o Responsible for preparing detailed process reviews and identifying the key controls for testingo Writing the ‘management letter’ covering identified control weaknesseso Obtaining internal and external audit evidence to verify statements Show less

Admission To The Institute Of Chartered Accountants, Accountancy, Top 5%

B.Comm, Llb, Law And Acccounting

Bachelor Of Commerce & Law, Business/Commerce, General