Simon Wallis Email & Phone Number

London, GB

Luxembourg, LU

• Leadership of the Group Risk Management team reporting to the CRO, enhancing the design and embeddedness of the Risk Management Framework across the Group.
• Designed and implemented a second line Risk Assurance Team, delivering a variety of reviews focusing on IQ-EQ's major risks.
• Regular presentations to Boards and Committees on both Risk and Assurance topics.

London, England, GB

• Responsibility for Enterprise, Operational Risk, Financial Controls Testing and Risk Transformation across M&G plc including M&G Investments and Prudential UK, leading a large team of colleagues.
• Led on the delivery of key deliverables including the: (i) Refresh of the M&G plc Risk & Policy Governance Framework, (ii) Top, Emerging and Risk Identification Processes, (iii) Design and Implementation of the Risk.
• Restructured and reduced Operational Risk headcount to align to the new business structure, leading on the design and implementation of the new structure including all people aspects and consultation with the relevant.
• Delivered the implementation of Operational Risk Framework.
• Led the implementation of a Governance, Risk and Compliance (GRC) tool across M&G plc to underpin the refreshed framework and developed a firm-wide communications and training programme to improve awareness of, and.
• Driven the use of refined Risk & Control metrics and dashboards in management, Committee and team meetings and transitioned to calibrated quantitative Risk & Control based objectives, and the implementation of.

London, England, GB

London, England, GB

London, England, GB

• Reported to the Chief Risk & Compliance Officer and General Counsel, responsible for a multi-million pound change programme, built a team of 20 people to deliver the programme. In addition, acted as Business.
• Responsibility for all aspects of programme delivery including costs, benefit management, reporting to Boards and trailing progress to Regulators.
• Programme focussed on three key workstreams (i) functional re-organisation, (ii) operational separation, and (iii) digitally enabling capabilities.
• Functional re-organisation - Responsible for design and implementation of new target operating model (TOM) including merging and restructuring across Risk, Compliance, Legal & CoSec.
• Operational separation – Programme to separate the functions from Prudential plc including implementation of new risk framework, appetite, limits and policies, whistleblowing, share plan provision, registrar and.
• Digitally enabling capabilities – Implementing other systems and technology to increase automation across the functions including (i) a financial crime workflow tool, (ii) a gifts and hospitality tool, and (iii) Co-Sec.

London, England, GB

• Accountable for (a) design and delivery of the future functional TOM and, (b) providing programme assurance over the significant M&GPrudential merger and transformation change programme.
• Programme Assurance Responsibilities – (i) developed a transformation risk framework including reporting and Management Information, (ii) built and recruited specific team to support the assurance of the programme.

Central, HK

• Reported to the Prudential plc Chief Auditor and led several highly confidential reviews including whistleblowing and regulatory investigations.
• Led a group-wide internal audit enhancement programme, delivered both to time and budget. Significant enhancements were made in several areas including (i) people and teams, (ii) technology, (iii) processes, and (iv).
• Developed an approach to thematic reporting and presented to both Executive and Non-Executive Directors and produced thematic reporting for both Risk and Audit Committees on topics including (i) outsourcing oversight.

Central, HK

• Responsibility for group-wide audits including (i) alternative investments, (ii) asset valuation, (iii) best execution, (iv) conflicts of interest, (v) securities lending, and (vi) FX and cash trading.
• Led multiple interactions and produced several reports for the PRA on asset valuation risk. Led development of group audit plan and risk assessed audit universe.

Worldwide, OO

• External Audit - Lead Senior Manager for the external audit of SEC registered investment banks subject US PCAOB inspections, regularly presented at both Risk and Audit Committees. Assisted on several major transactions.
• Internal Audit - Outsourced lead and Head of Internal Audit for a large broking firm covering both securities and wealth. Led internal audit effectiveness reviews for banks, high frequency traders and foreign currency.
• Advisory Projects - Deloitte lead for Bank of England Funding for Lending audit engagements. Managed the audits for four major banks that drew down on the scheme and liaised with the Bank of England on audit rules for.