Sam Douglas Email & Phone Number

Melbourne, Victoria, Australia

Vanguard Australia made the strategic move to transform its business by entering the superannuation industry. I was a member of the original project team charged with setting the strategy and standing up this new business. Currently I manage the key internal and external strategic vendor partnerships. ✳️ Brought into the role to establish critical vendor relationships to support the superannuation business and drive business outcomes by unlocking their capabilities and aligning them with my internal clients needs. _______________ 🔸Member of core team which successfully launched Vanguard’s Superannuation business in 2022. This team developed the initial value proposition, end state and minimum marketable product, core capability requirements and delivery roadmap. 🔸 Business lead for the administration and master custodian selection processes. Led all aspects of the tender process including the due diligence reviews and selection workshops. Successfully negotiated industry leading pricing, service levels, and strong legal terms for both partnerships. 🔸 Key member of the implementation steering committee. Constantly worked with vendor to ensure they were properly engaged and accountable to deliver the promised capabilities needed to stand up the fund. 🔸 Executed a comprehensive vendor management plan and engagement model with the new administrator. Moved quickly to address operational, project and risk issues as they emerged. 🔸 Built strong relationships with the vendors key executives to ensure that Vanguard Australia got the best possible engagement for their strategic business requirements

Melbourne, Australia

Vanguard was seeking to leverage its global scale and strategic partners capabilities to ensure that its Australian and Asian funds business was supported by the best possible technology and service. At the same time, it was actively seeking opportunities as it expanded into the Asia region. ✳️ I established the bank strategy and relationship role in Asia. Acted as the primary liaison between internal business units and Vanguard’s custodial banks in the region. Partnered with internal clients to develop (and deliver) strategic and tactical objectives for all banking relationships in the region. __________ 🔸 Successfully delivered the 2016 custody and fund accounting tender for Vanguard Australia and the 2018 tender for custody services for Vanguard’s Hong Kong MPF business. 🔸 Acted as the sourcing lead for the securities lending Request for Proposal (RFP) (2018) and the unlisted registry services RFP (2018-2019). Again, played the lead role in engaging with candidates, coordinating due diligence efforts and negotiating industry leading pricing and legal terms. 🔸 Ran several Requests for Information (RFI) processes in Japan and China during this period as Vanguard assessed different strategic opportunities. 🔸 Developed a robust engagement model that improved collaboration between Vanguard and its custodian partners. Ensured there was strategic alignment, active engagement, and open and transparency communication. Successfully worked with partners to ensure that contracted levels of service were delivered.

Melbourne, Australia

Vanguard was looking to rapidly establish an Enterprise Risk Management function to meet evolving finance industry standards. ✳️ I worked with the head of risk to establish the ERM risk function and framework in a greenfield environment for Vanguard Australia’s business. ________________ 🔸 Successfully established an operational risk policy, framework, governance structures. 🔸 Acted as the international lead on the global risk appetite framework project. Developed the methodology, drafted the risk postures, and related metrics. Successfully pitched the framework to the senior US risk committee. 🔸 Risk assessed key front to back processes. Where material gaps were identified worked with management to ensure that action was taken to bring the risk exposure back into tolerance. 🔸 Addressed the high level of perceived project risk by conducting an urgent review of all projects and then embedding on ongoing process to ensure that all project and delivered risks were captured as part of the risk framework.

The UBS Wealth Management UK business was experiencing bottlenecks in its product approval process and brought in a dedicated role to streamline and effectively manage the process ✳️ Chaired the new business approval meeting, responsible for the pre-approval and operational readiness sign off for all new products. Conducted deep dive assessments on high-risk areas. ___________________ 🔸 Successfully redesigned the product approval process which resulted in a significant improvement to the time required for review and approval. 🔸 Designed and executed a control plan to ensure that all structured products and the circumstances of their sale met the stringent suitability requirements of the local regulator. 🔸 Delivered a risk paper on the front-to-back Precious Metals process. Identified several issues around roles and responsibilities and poorly executed key controls. Worked with the change and finance functions to ensure that these issues were rectified.

London, England, United Kingdom

The Equities Product Control Operational Risk team in the Investment Bank was created to assist management take control of their risk profile. ✳️ I was asked to re-establish and lead the Equities Product Control Operational Risk team that had been weakened when four of its five members resigned within the space of a month. - - - - - 🔸 Recruited, trained, and managed replacements in three countries, while at the same time successfully ensured all team deliverables were achieved (including key SOX 404 and 302 tasks). 🔸 Briefed the global head of the equities trading on his operational risks at the quarterly SOX 302 meeting. Provided tailored risk briefings to the head of global product control and the London CFO. 🔸 Developed risk reporting that highlighted to executives any risk exposures that they owned. Worked with the line to establish mitigating action plans. 🔸 Led a deep-dive review of the global Equities business balance sheet, which resulted in significant aged accruals and provisions being written back to the P&L. 🔸 Strengthened the balance sheet substantiation process with several initiatives including development of an analysis tool to assist in the identification of risk issues.

Chartered Accountant Designation

Bachelor Of Commerce (B.Com.)

Bachelor Of Laws - Llb