Thomas Walsh Email & Phone Number

Dublin, County Dublin, Ireland

• Lead strategic enhancements within the ERM Team by identifying, designing, and executing initiativesto align with Waystone and ERM Team objectives • Build and continuously refine Management Information (MI) to facilitate informed decision making at both Group and Business Unit /Core Functions levels.• Enhance enterprise-level risk assessments and processes including Client Risk Assessments, Third PartyProvider Assessments, IT Resilience.• Drive or support ad hoc initiatives arising from evolving risk landscapes or regulatory requirements, such as the implementation of new legislation impacting ERM

Dublin, Leinster, Ireland

Operational Risk Group Manager - Global Lead Across Custody, Fund and Issuer Product Lines.Key Responsibilities • Chair of Annual and Quarterly Global Fund Services Risk Assessments forum to assess business risk taxonomy and profile, aiding the business with addressing residual risk outside of risk appetite. • Partnering with Operations Senior Management and colleagues across the firm (Product, 2nd & 3rd Line of Defense) to address processes and risk taxonomy’s outside of risk appetite by ensuring sufficient corrective action plans are in place to mitigate the risk.• Management of process, risk, and control profiles at a global product level to ensure consistency across locations and legal entities. Understanding divergence from these at a country and legal vehicle level.• Managing a complete portfolio of Issues and Corrective Action Plans which are raised from being outside risk appetite or raised on the back of Control Officer’s reviews and/or oversight of breach of key risk indicators.• Management of successful internal reviews from 2nd and 3rd line of defence along with external audits (SOC1, UK CASS Audits).• Influencing and contribution to new policies affecting operations and technology control environment before publication. Creating policy interpretation documentation, providing training on these, and ensuring they are embedded within first line processes and culture.• Provide clear visualisation of control data to Regional, Product risk and control governance forums. Provide updates at relevant forums and prepare speaking notes for Senior Operations Management at ICG level Forums and Committees.• Support the business with crucial policy/regulatory and control-related changes, projects, and initiatives.• Review New Product Approval Committee submissions for potential business risk profile and control framework changes.

Dublin City, County Dublin, Ireland

• Management of the Fund Outsourcing Governance Team to execute key aspects of the Governance Oversight model concerning offshored and outsourced fund administration services including: o Compliance with regulatory requirements of Chapter II of the UCITS IV/Non-UCITS Notices and corporate requirements relating to Governance Oversight.o Review all contractual outsourcing agreements between Dublin and the Centre of Excellence to ensure all invoicing/cross-charging and FTE numbers between were accurately reflected per contractual documents.o Manage the due diligence budget and schedule, perform due diligence service visits and issue final due diligence reports to senior management and COEs.o Ensure a regular and effective mechanism to review service delivery, including agreed KPIs, logged reworks, service issues escalation, regular service calls and reporting procedures was in place. • Provide an overview of the offshore sites' relationship status to the monthly Risk and Control Forums, including a summary of outstanding Corrective Action Plans/Business Issues for COE sites. • Draft communication letters to the CBI on new or amended material outsourcing.

Placed in program from 250 eligible employees to move to roles outside current product line and role. Post completion of the program, I stayed on as my role of Asset Servicing Section Manager and got promoted to VP.Asset Servicing Section Manager (Vice President)• Management of ~50 staff in the announcement and payment of Corporate Actions in the ICSD and Global Markets. Motivating and enabling staff to implement the department’s strategy and meet the section's budget and operational Key performance indicators.• Liaising with IT teams to resolve any technical issues that prevent the optimum performance of processes.• Map and continually re-engineer the process, up to the department level, to yield sustainable cost reductions while maintaining a pristine control environment.Regional Risk Manager, Citibank NA, United Kingdom• Liaised with EMEA O&T Country Heads and Contingency of Business coordinators relating to the possibility of out-of-country recovery included in the contingency of business plans and reported back synopsis to the Managing Director of the EMEA Regional Risk Office.• Worked as Regional Risk Office representative on the Anti-Fraud Task Force to ensure implementation of the key recommendations. • Published two articles in the EMEA O&T Quarterly Newsletter on Crisis Management and Global Anti-Fraud. Delivered a presentation to the O&T Senior Leadership team on the updated UK Bribery Act and the potential risk to their individual businesses.

Ireland

Leading a team of 15 my key responsibilities are to: - completion of end to end processing and sign off on approx 250 NAV’s a month.- Oversight of monthly billing and MIS reporting for my group.- CHFS representative at fund Board Meetings. Reporting on KPI’s, pricing, financial reports, tax, any other operational issues and dealing with any specific resolutions that need to be approved by the Board.- Fund Accountant (FA) contact for 8 clients – acting as escalation point, dealing with strategic issues/requests, providing accounting advice on USGAAP/IFRS/UKGAAP standards and filing requirements with ISE/Cayman/Bahaman regulatory bodies.- Maintaining good working relationships with external client and internal departments.- Review of offering documents for new fund launches and updating of existing Fund’s documentation in relation to performance fee calculations and other administration related issues.- Citi/FA Team representative at investor due diligence meetings.- FA contact for any new Fund launches/take-on within the group.

Dublin, Leinster, Ireland

Leading a team of 4 my key responsibilities are to: - Signing off daily Mutual Funds- Preparation of monthly MIS to IM.- Completion of Fund Year End Financials- Performing Staff Appraisals

Master Of Science - Ms, Compliance, Honours Class 1

Cima Advanced Diploma In Management Accounting (Cima Adv Dip Ma)

Ba, Accounting