Thomas Dodd Email & Phone Number

Mt

Executive Vice-President & Group Chief Compliance Officer for the FIMBank plc group, responsible for Regulatory Compliance, Financial Crime and AML/MLRO.Detailed responsibilities:• Executive accountability for Regulatory Compliance, Financial Crime and AML risks, providing analysis, reporting and governance• Assist the senior management and other colleagues on all material compliance related matters• Lead the Compliance team, establishing guiding principles and strategic operational objectives, owning budgeting and managing costs, headcount and resources to ensure that the teams are fit for purpose and that the delivery of its critical services to the Group is both effective and cost-efficient.• Provide advisory services in order to ensure understanding of compliance risk exposure with respect to clients, transactions and products• Manage and maintain good relationship with relevant regulators bodies• Provide updates and / or notifications to regulators and other external bodies• Ensure that appropriate Compliance Policies are in place and duly approved by the competent Board committee• Manage the compliance and regulatory risks throughout the Group through oversight of the responsible departments and ensuring that all staff are kept aware of their regulatory obligations• Report on a timely basis to the Board Audit Committee and CEOAs MLRO• Responsible for implementation of the Group’s AML/CFT, Sanctions policies• Conduct a Business Risk Assessment on an annual basis in accordance with the FIAU’s Implementing Procedures;• Ensure that Customer Risk Assessments are conducted on a periodic basis in line with the FIAU Implementing Procedures;• Responsible for ensuring that ongoing monitoring of customer due diligence is performed• Responsible for investigating suspicious activity reporting• Ensure unfettered access to all records, data, documentation and information to evaluate when issuing/ monitoring any suspicious reports/ transactions

Providing advisory and consultation services on a range of financial services' topics such as:Anti-Fraud - prevention, detection & investigationAnti-Money Laundering - forensicsData Privacy - governance, protection & reportingOperational Risks - detection, assessment & managementRegulatory ComplianceDigital Client OnboardingCorporate GovernanceKYC, KYS, KYIProvided assistance to a number of international organizations including:EY-ParthenonGLGDevelopment Aid

STRATEGIC OVERSIGHT: Executive Leadership member leading operational teams in Anti-Fraud, Anti-Money Laundering, Conduct Review, Policy Governance & Project Management. Working closely with the Management Board to ensure the bank remains operationally compliant & maintains the highest standards of corporate governance. Implementing a Compliance Program to assess & manage material compliance risks.Member of the Supervisory Board of Moneta Leasing.CHIEF COMPLIANCE OFFICER (OVERVIEW)- Attending regular Board/Management meetings; main contact with bank regulators- Delegated responsibility (Compliance, ERM, ALCO, Op Risk Committees)- Leading compliance strategy / governance; key project implementation oversight- Regulator relationship / engagement (face-to-face and informal dialogue)- Building trusted relationships with senior stakeholders and business leaders- Driving strategic transformation plans given changing regulatory compliance- Defined executive reporting framework with critical compliance KRI / KPI metrics- Delivering Annual Compliance Plan, oversight over all policies and proceduresREGULATORY COMPLIANCE & CONTROL- Defined best practice model for banking operations & branch networks controls- Oversight for key operational teams including AML & Anti-Fraud Controls- Responsible for oversight of complaints handling and Regulatory inspections- Implemented new Anti-Fraud framework (prevention, detection, investigation)- Sharpened focus on Cybercrime, application fraud, organised crime, ID theft- Improved operational branch controls (200+ branches)- Implemented targeted operational reviews (operational controls & monitoring)TEAM LEADERSHIP & DEVELOPMENT- Leading extended team with functional heads and director-level reports- Developing high potential Senior & Junior Managers - Completely restructured teams, roles, responsibilities and accountabilities- Leading PMO Office; strategic initiatives oversight, investments and resources

Norwalk, Ct, Us

STRATEGIC OVERSIGHT: Led independent, non-operational oversight of enterprise risk management, governance and control for an established international bank. Directly reported to the Board of Directors and Audit Committee to oversee risk and control issues for aligning corporate strategy to risk appetite and tolerance. Top-level strategic guidance, Executive Board governance, leadership capability development & change management in a complex regulatory environment.TEAM LEADERSHIP: Led / built talented team of Senior Managers and experienced Auditors with specific subject matter expertise focusing on key risk and compliance disciplines. Emphasis on talent management, succession planning, coaching, mentoring, professional development, performance reviews and accelerated progression for high potential employees.STAKEHOLDER ENGAGEMENT & GROUP-LEVEL COMMITTEES- Leveraged a centralised oversight model to meet regulatory compliance needs- Holistic advice on corporate governance for internal and external stakeholders- Oversight of Global OpRisk - presence on key International OpRisk Committees- Produced internal audit reports and key recommendations on thematic issues- Global perspective on risk control issues to drive Executive Leadership decisions- Empowered Senior Managers to take action on unmitigated risk (risk appetite)BOARD GOVERNANCE & TRAINING- Defined / maintained group-wide governance and control framework - Provided subject matter expertise on high-level boards and committees- Executive Leadership Training; developed high potential Junior Managers- Relationship building / influencing skills on key aspects of risk and controlCHANGE & TRANSFORMATION STRATEGY- Led transformational change in the Audit & Regulatory Compliance Team- Spearheaded cultural change to drive greater risk awareness and appetite- Strengthened regulatory compliance, branch control focus & audit assurance

REGULATORY OVERSIGHT: Direct input into a strategic initiative to enhance UAE Banking Regulatory Oversight for the UAE Central Bank. Provided essential strategic guidance to help define a new and highly robust regulatory compliance framework to improve transparency, accountability and control, whilst applying a best-in-class operational risk methodology and enforcing governance standards.BANKING GOVERNANCE & REGULATORY FRAMEWORK- Direct strategic input to enhance the UAE Banking Regulatory Oversight Model- Created Regulatory Examination Model governing operational risk requirements- Enhanced 'CAMELS' FED Methodology to fully incorporate BASEL II requirements- Strengthened corporate governance for local & international financial institutions- Presence on Regulatory Preparation Committees (defining policies / regulations)AUDIT METHODOLOGY & SUPERVISORY ASSESSMENTS- Defined Audit Methodology (Grading System, Balanced Scorecards; KPI Metrics)- Led comprehensive on-site assessments covering critical controls and processes- Assessed Capital Adequacy, Asset Quality, Management, Profitability & Liquidity- Assessed Operational / Technological Infrastructure & Business Continuity Plans- Analysed financial provisioning shortfalls, plus governance & control weaknessesTEAM LEADERSHIP & REGULATORY ENFORCEMENT- Assigned Examination Teams – responsible for producing Final Supervisory Reports- Presented audit findings to Senior Management Teams of financial institutions- Report-out of identified areas of unmitigated credit, market and operational risk- Assessed / approved mutual fund applications; review of prospectuses - Direct responsibility for closing down non-compliant IFAs and Financial Brokers

FREELANCE CONSULTANCY PROJECTS- Set-up subsidiary for a UK Financial Advisory Firm (Investment Product Portfolio)- Strategic Plan for an Executive Search & Selection (Finance & Banking Recruitment)OTHER POSITIONS1996-1997: INTERNATIONAL AFFAIRS ADVISOR - Private Equity Firm1994-1996: CLIENT ACCOUNT MANAGER - Credit Lyonnais Rouse, Paris

Master Of Business Administration (Mba)

Prudential Regulation Of Credit, Market, Operational Risk And Anti-Money Laundering

Financial Planning Certificate (Fpc), Finance And Financial Management Services - Unit-Linked Life Insurance Wrapped Products

Bachelor Of Arts (Honours) Economics, Economics