Compliance Surveillance Expert with 19 years’ experience gained mainly working within tier 1 banks. As Regional Head, within various institutions, has an established network with third party vendors, regulators and other surveillance professionals in both the EMEA and APAC regions. Extensive management experience has been gained in building, running and remediating big and small teams to create the benchmark for how a surveillance team should operate. Offers a relaxed management style and believes strongly in a good work life balance, diversity and equal opportunities, and that the right mix of people always creates the most effective team.
-
Freelance ConsultantLeaman CrellinTonbridge, Gb
-
Head Of SurveillanceMufg Oct 2022 - PresentChiyoda-Ku, Tokyo, Jp -
Senior Surveillance And Monitoring Professional | Compliance & Risk | Comms & Trade SurveillanceRbc Capital Markets Jul 2020 - Oct 2022Toronto, Ontario, CaContract role covering Regional Head of EMEA and APAC -
Director - Regional Head Of Surveillance Emea (Ex-Germany)Deutsche Bank 2017 - 2019Frankfurt Am Main, Hessen, DeResponsible for implementation and running of Trade, Ecomms and AComms surveillance, across the region. Managed a team of approximately 40 staff • Enhanced and remediated trade surveillance scenarios for FICC (Actimize), Equities and Listed (SMARTS) products, working with Global and Regional SMEs.• Regional oversight for the enhancement of EComms transition from S6 Autonomy to Attivio (SLM) and for the AComms transition from Nice to Nexidia so as to move away from Lexicon based surveillance to natural language processing, deep dives and targeted reviews -
Ed - Regional Head Of Wealth Management Monitoring And Surveillance EmeaJ.P. Morgan 2015 - 2017New York, Ny, UsResponsible for implementation of monitoring and surveillance, including E-Comms surveillance, across the region.• Recruited a team of 6 to implement the regional monitoring and surveillance program across the region.• Implemented and rolled out fiduciary monitoring and enhanced and implemented the suitability program for the EMEA region (primarily UK - COBS 9).• Enhanced and implemented trade surveillance for the region using an in-house system (workstation) with a suite of alerts looking for market manipulation and insider dealing -
Ed - Head Of Trade Surveillance Apac (Ex Japan)J.P. Morgan 2013 - 2015New York, Ny, UsResponsible for implementing monitoring and surveillance across the region. • Recruited a team of 13 and assisted the Regional Head in creating a regional surveillance team located across Hong Kong, Australia, India, Japan and Korea.• Developed and implemented surveillance for personal account dealing across the region.• Implemented short sell and facilitation monitoring for Hong Kong.• Developed and implemented IBOR monitoring across APAC.• Developed and rolled out Foreign Exchange Benchmark monitoring across APAC (Thompson Reuters and SAGE).
-
Director - Monitoring And SurveillanceUbs 2012 - 2013Zurich, ChActed as the primary oversight resource for the EMEA region for the automated monitoring program.• Worked closely with L&C IT and the Regional Heads of M&S to ensure that all projects received the necessary resources for completion within the 2011/2012 IT budget and the requirements for 2012/2013 IT budget.• Worked closely with Equities IT and L&C IT in the scoping, implementation and enhancement of the alerts and implemented parameter changes to the automated alerts to increase the effectiveness of the monitoring by reducing the number of alerts by approximately 40%. -
Director - Monitoring And SurveillanceUbs 2010 - 2012Zurich, ChActed as the Monitoring and Surveillance Regional Coordinator for APAC (incl Australia).• Represented APAC (incl Japan) on the Market Conduct Review, collating all monitoring tasks performed for the region including the creation of a Global SMARTS bench marking project.• Chaired the SMARTS regional bi-weekly working group which included workshops and regular training.
Thomas (Ollie) Barker Education Details
-
Chartered Institute For Securities & InvestmentInvestment Compliance -
Loughborough UniversityEnglish Literature
Frequently Asked Questions about Thomas (Ollie) Barker
What company does Thomas (Ollie) Barker work for?
Thomas (Ollie) Barker works for Leaman Crellin
What is Thomas (Ollie) Barker's role at the current company?
Thomas (Ollie) Barker's current role is Freelance Consultant.
What schools did Thomas (Ollie) Barker attend?
Thomas (Ollie) Barker attended Chartered Institute For Securities & Investment, Loughborough University.
Free Chrome Extension
Find emails, phones & company data instantly
Aero Online
Your AI prospecting assistant
Select data to include:
0 records × $0.02 per record
Download 750 million emails and 100 million phone numbers
Access emails and phone numbers of over 750 million business users. Instantly download verified profiles using 20+ filters, including location, job title, company, function, and industry.
Start your free trial