Stephan Kramer Email & Phone Number

FCA mandated Regulatory Review on potential Interest Rate Derivative mis-selling to SME's.; , Subject Matter & Technical Expertise Team• Detailed analysis of customer cases, building up background information to assist with case decisions.Reconciling FCA reporting and customer communication queries• Collation and publishing of up to date programme methodology.• Specialist input during the project decommissioning. Preparing reports for potential enquiries.• Process change manager, daily monitoring calls, compilation of MI and feedback to senior committee onprogress against targets. Completion summary and learning points.Paralegal Team Lead, Consequential Loss• Managing workflow and quality for a paralegal team supporting Consequential Loss Assessors. Setting upmetrics. Liaising with other teams. Interviewing and hiring staff.Subject Matter Expert, Sophistication Assessment• Expert point of contact for subject matter related questions from a team of 40+ Team Members, QualityAssurance of work.• Review and interpretation of regulators consultation papers and political debates. Authoring of Methodology,creation and communication of updates and guidance.• Investigation of Corporate Structures, Company records and accounts, KYC and MiFID Client Categorisation,utilising knowledge of Conduct of Business rules, Treating Customers Fairly.• Handling challenges, queries and detailed investigation of customer complaints. Liaised directly with theIndependent Skilled Person, methodology, sophistication test outcomes, evidential standards, flow rates andissues that arose during the course of the program.Manager Confirmations and Control

Managing a team responsible for drafting Interest Rate Derivative and Credit Default trade documentation,settling of invoices. Managed the risk profile such that outstanding documentation levels reduced to recordlow levels at month and year end. Liaising with sister team in Australia to share ideas and knowledge whileharmonising processes and on shoring.• Integral part of the RPI / Inflation Swap process, interacting with the Front Office, Legal and the Quant deskto understand the deal and make certain details captured accurately.• Responsible for Regulatory reporting of CDS, Bonds, Futures and Future Options. Working with Audit,Compliance, Finance and Technology to achieve greater processing and precise exception recognition.Ensuring the Bank remains FSA compliant in these matters.• Creating process maps and documenting step by step procedures. Producing detailed system enhancementrequirement documents. Constructing skills matrix and future planning statements. Implemented initiatives forimproved data collation.• Managed Staff from identifying to interviewing candidates. Training and staff reviews.• NAB representative on industry calls and in meetings: Credit Events, Dodd Frank and Markitwire.

Regulator mandated reduction in Equity derivative confirmations. Designed and implemented global metricsto track targets. Built intranet page to aid wider communication of reports. Lehman representative on marketcalls. Liaised with other institutions to resolve issues.• Senior London project manager for the replacement of the global derivative confirmation workflow system anddatabase. Identified and documented London's requirements. Designed test plan. Supervised and providedfeedback in the UAT phase ensuring successful releases.• Supervised a team of 25 people during the restructuring of the confirmations process. Recruited staff.Determined and introduced policies, procedures, and best working practices.• Sarbanes Oxley compliant risk mitigation and quantification. Regular meetings with external auditors.Designed and established new metrics and key performance indicators adopted globally.• Compiled and gave presentations to FSA and management on the details of the current, historical andpredicted future states. Used for head count and workload analysis.

Bsc, Biology

Biology, Economics, History, General Studies

Education record