Stuart Harper Email & Phone Number

London, Gb

London, United Kingdom

Responsible for the governance of CIB audit findings, self-identified issues and regulatory commitments throughout their lifecycle. From origination, ensuring unambiguous articulation of the issues, that remediation plans appropriately address the risk and owners are sufficiently placed and understand their accountabilities. Throughout development and implementation, responsible for status tracking, monitoring early warning triggers, escalating slippage to GM COO and ExCo. As remediation completes, responsible for facilitating issue closure.Tracking KPIs/ KRIs and creating actionable MIS on a portfolio of ~400 findings and issues through CIB Non-Financial Risk forums. Man-marking overdue issues and engaging with stakeholders to align understanding and activities.Created and managed a divisional process to assess the success of remediation on the original identified risk, comparing the residual risk to appetite and agreeing closure of the risk itemAnalysing the portfolio of audit and self-identified issues to identify emerging themes and risks. Providing this analysis to change management and control groups to aid book of work prioritisation and shape remediation programsDivisional coordinator for regional Regulatory Management audits.As Global Markets Governance Lead, responsible for advising the division on creating an appropriate governance landscape for effective oversight and decision-making through to the divisional ExCo. Key collaborator with 2nd Lines of Defence; Group Operational Risk, Compliance, Anti-Financial Crime / Anti-Money Laundering. Representing Global Markets’ interests in discussions over Policy changes, training requirements and

As COO functionally aligned to Derivative Operations and Debt Europe (FISOS, Credit and Rates) responsible for:Cost Control; allocation key management, partnering with Finance to provide additional transparency of forecast financials vs plan (~EUR 80mm 2014 forecast)Control and Compliance; monitoring of compliance training, facilitating monthly Business Review sessions to discuss KPIs, KRIs, tracking of audit points and operational incidents Talent Management; Hiring approval, joiner/ leaver tracking and mobility review, Strategy Facilitation; cost per trade analysis, functional headcount mapping and representation on emerging initiativesChange Support; global programme consolidation and tracking, change reporting and prioritisationCreated analytical pilot to leverage McKinsey Cost Per Trade data into a model to identify opportunities for processing efficiencies across IRS infrastructure functionsAs CB&S Ops – Debt PMO for Operational Excellence programme responsible for; tracking progress of a 2014 ~EUR 6mm in-year cost saving across Debt Ops (EUR 17mm Life to Date), management of the Cost to Achieve (CtA) cost centres including facilitating pitching of new ideas to secure fundingCB&S Ops Debt representative on trade data working group consisting of; external legal counsel, internal legal, economic consultants and Deutsche Bank Operations colleagues helping to answer Requests for Information from regulatorsBISO (Business Information Security Officer) for core Debt Derivative platforms (Markitwire, Summit and Front Office 3D Grimis) responsible to ensure on/ offboarding user mechanisms are in line with policyNPA Gatekeeper for Debt Operations to ensure operational readiness across infrastructure functions to support new products, minimise operational risk and missed trading opportunities

London, United Kingdom

Reporting to the COO of the newly formed Divisional Control Office responsible for 1st Line of Defence Controls and Conduct including; Level 1 Control Design & Process Change, Operational Risk, Supervision, Benchmark Controls and Electronic Trading Controls. As Chief Administrative Officer responsible for defining, agreeing and executing the headcount build-out plans to reach targets committed to regulators. Monitoring hiring pipeline and tracking actual hires against planned, managing contractor population and business cases for renewalResponsible for GBP 5mm annual consulting budget and involved in all elements of engaging and onboarding of external consultants; engaging with procurement to identify suitable firms, agree contract deliverables for tendering, securing budget and engaging with legal and the vendor to agree contract scope and terms.As PMO for the 3 Lines of Defence Program for Global Markets; responsible for defining the Non-Financial Risk Governance forums, their delegation lines, responsibilities and Terms of Reference. Coordinating and assuring quality of progress updates to regulators and milestone tracking into Group PMO function for the 3 Lines of Defence programResponsible for producing a Management Book Policy to respond to a pan-Global Markets Audit Finding, designing and implementing a control framework with the 2nd Lines of Defence; MRM and FinanceSecretary for Global Markets Audit Finding Closure Forum and Global Markets Non-Financial Risk Council

London Area, United Kingdom

Responsible for governance and oversight of near and far shore Rates trade support teams including; adherence to KPIs and service level agreements, onboarding of new services and acting as escalation point for both support functions and tradingPartnering with Trading Business Management and Global Technology to create Business Requirement Documents to increase STP for trade processing and support new client demands and productsCoordinated a data collection exercise to document Trade Capture and Risk & PnL/ FinCon control environment across flow and structured Rates products, capturing instances of dual capture into risk and settlement systems and associated population and trade attribute reconciliationsRan a forum across Derivative Operations (Documentation and Settlements) and Trade Capture functions to investigate main drivers to trade amendments and queries raised to trade capture from operations Managed resourcing and training of a dedicated team to handle TriOptima portfolio terminations for Rates IRS. Throughout 2012 EUR 8 Trn (equivalent) of trade notional was terminated across 130k IRS trades, a 200% increase over 2011. Managing transition of Markitwire backloading activities offered to clients from external vendor eClerx to DBOI India for a EUR 220k annualised saving.

New York

Leadership and development of the New York and Jacksonville Sales Reporting teams covering the Debt and Equity Institutional Client Groups in the Americas. The group are responsible for the calculation, integrity and data quality of Revenue Credits for the Institutional Client Group. This information is used to provide a diverse reporting suite to management ranging from simple reports that show the value of the client franchise through to tailored ad hoc analysis that are used to determine sales team budgets and determine hiring plans.Partner with our internal clients to scope, document and prioritise new reporting functionality within the Cognos reporting platform then co-ordinate its development, testing and implementation.Responsibility for working with external survey providers such as McLagan to streamline revenue data collection and analyse the metrics provided to identify opportunities for growth of market share.Maintain open communication with our clients and regional COO team to prioritise reporting requests and to ensure resources are used optimally. Additionally, compiling MIS to track delivery against agreed service levels.Senior escalation point and face off for Front Office desk heads, business managers and partners across the Operations division.Responsibility to constantly partner with my regional counterparts to evolve our operating model and ensure our reporting infrastructure and global resourcing model is able to support the needs of growing business demands. One element of this was to realign the Americas strategic operating model by transitioning functions to near shore locations.

Teams managed:Credit Correlation Middle Office:The team supported the Credit Correlation desks based in both London and ASPAC. They had responsibility for the entire trade life-cycle from trade bookings and confirmations through to handling market initiatives, default and succession events.Products supported range in complexity from vanilla Credit Default Swaps and First to Default baskets through to iTraxx/ CDX indices, funded and unfunded bespoke tranched CDOs and CDO-squared trades with corporate credit and ABS underlyings.Structured Derivative Reconciliations:A utility reconciliation function offering both Fixed Income and Equity businesses the ability to reconcile their off-system risk and PnL trade bookings to those used for documentation and settlement.The team initially comprised two individuals reviewing only Structured Credit trades. However, such was the success of the function that the team grew to fourteen staff servicing many structured desks within Global Markets. Functions performed in my role:Recruitment, leadership and development of twenty one individualsMaintaining low KPIs and KRIs and controlling the businessPrioritising projects/ issues and allocating resources/ tasks accordinglyFostering good working relationships across all process stake-holders: Business Management, Finance BAC, Sales, Trading and Operations. Partnering with them to establish ‘best practice’ operationsContinuously improvement to processes and systems to remove manual intervention, dual-keying and manual reconciliationSubject Matter Expert in a strategic Operations working group, the function of which was to ensure that Deutsche Bank was sufficiently prepared for regulatory changes in the CDS market; FED Targets, Default and Succession Event processing for Single Name, Index Single name and CDO Tranches.Successfully managed transition of a number of control and reconciliation functions to lower cost locations.