Senior Information Risk Manager
Barclays
مجموع سنوات الخبرة :29 years, 8 أشهر
• Accountable for ensuring that an effective Business Information Risk Officer framework is deployed and maintained in the region
• Responsible for developing and maintaining an engaged and active network of Dept. Business Information Risk Officers.
• Responsible and accountable for the appropriate execution of 1st LOD reviews of information risk controls in the region by developing and executing appropriate Internal Control Monitoring Plans and providing SME on controls and testing.
• Providing functional direction to business management and local Risk Officers as appropriate to manage business information risks. Responsible for providing education and awareness on information risk issues and initiatives and obtaining senior management support for Business Information Risk Officer activities.
• Responding to requests 2nd LOD functions to support a range of 2nd line projects and initiatives that impact business processes and risk management, Assist in the identification, documentation and resolution of information risk issues.
Responsibilities encompass all governance and assurance activities associated with a Group level second line of defence function. These included development of policy, design and implementation of appropriate training and awareness materials and content, provision of subject matter expertise advice and guidance to the business, and provision of assurance to management through production of MI and reporting.
* Provision of subject matter expertise (SME) on matters relating to information risk management.
* Assessment of information risks associated with technology projects, solutions and changes.
* Produce and maintain relevant metrics and MIS for reporting and decision making.
* Provision of IRM SME advice and guidance to key senior stakeholders.
* Performing business unit conformation reviews.
* Data Leakage Prevention
* RCA and Key Risk Assessment reviews.
* Participation in investigations, incidents and exceptions to address IRM matters.
* Supporting the implementation of an agenda of consistency, effectiveness and efficiency for Information risk management across the company.
* Close engagement with business units and functions, particularly Technology, and the business unit IRM teams is fundamental.
ERBB Barclays Governance, Assurance and Controls Manager
Responsible for ensuring that the Control Environment across Europe RBB COO processes are designed effectively containing controls that are compliant with legal, regulatory and Barclays standards and are also sufficient to manage key risks within each COO process.
FEB 12 - SEP 12
Systems Plus Senior Business Analyst
• Point man for all senior stakeholder relationships for offshore company and UK technology firm.
• Performing all operational tasks involved in offshoring, budgets, projects, IT, etc.
• Effective management of 3rd party vendor relationships. Where appropriate, forge strategic partnerships that create
measurable "value add" for both parties
• Creating Business Specification documents from Market Requirement Documents
• Managing an off shore team of Business Analysts and ensuring quality assurance of their work.
• Serving as point of contact for all system problems, identify enhancements with key data tools
• Cost control and P&L support for London Office
• Office Management for London
• Managed IT platform and applications
• Ensured London office followed FSA regulations where applicable
• Ensuring that appropriate processes and controls management for London
• Tracked all risks during the divestment program
• Tracked and reported all risk events
• Checked plans for Operational and Information risks
• Reviewed all 3rd party vendors and their contracts from an Operational Risk perspective
• Brought in to rectify audit issues in area of Information Security
• Raised awareness and disseminated the firms Information Security policies.
• Remediated audit issues within time period.
• Developing and implementing Information Security policy and standards
• Providing clarification and ongoing support for revision and modification of policies/standards
• Providing governance around policy management related issues management
• Analysing existing controls to determine which are obsolete or out-of-date
• Serving as a SME for governance and compliance framework and regulation
• Cost control and P&L support
• Moved all accounts to TASBooks and provided monthly cash flow reports and other periodic financial reports.
• Prototyping for web applications
• Creating and designing web and card games
• Providing business support to sales teams
• IT project management
This role focussed on transforming the business from a real estate company to a fund manager - REIT's and closed end funds. Reporting to the CEO, as being responsible for the entire finance, support services, HR, IT and offices, the main why I was brought in was to create an Operational Risk function.
• Accountable for firm wide platform management on behalf of CEO and Chairman
• Market/locational cost control and P&L support to CEO
• Implement and maintain running of market/location strategy across all sites multiple locations, booking platforms and regulatory environments.
• Provided oversight on all support functions across all sites.
• Created first ever system of cost centres and application of costs and revenue
• Implemented first ever staff handbook and wider implementation of talent, reward and performance management
• "Glued"' together a business that had grown rapidly over the previous two years before my appointment, by ensuring that
appropriate processes and controls management for respective jurisdictions.
• Service introduction including establishment of KRI's and SLAs
• Led a team of 20 reports; all admin staff, desktop support throughout EMEA
• Single handily delivered self-service HR tool; choosing the vendor, business analysis, project management and UAT
Reporting to the EMEA Head of Risk Control, I was responsible for all Operational Risk for EMEA Sales and Trading for EMEA Sales and Trading. I worked within the SEC, OCC, MIFID and Basel regulatory frameworks.
• As the risk department was an established team and function, I was brought in to maintain and push the team to the next level in terms of effectiveness and awareness of operational risk throughout the division.
• Supported the business in new initiatives
• Managed the day to day relationship with the Cash Equities, Syndicate, Prime Brokerage, ECM desks
• Owned the book of work for all desks that touched my area
• Performed risk assessments across the business, provided practical recommendations to mitigate any identified risks
• Engaged and supported senior stakeholders
• Monitored security using bank tools
• Responsible for regulatory reporting in respect of Operational Risk
• Lead in vendor management
• Often provided 2nd line support for security tools to EMEA based Helpdesks
• Identified new and existing risks to the bank infrastructure and applications
• Performed vulnerability assessments of infrastructure and applications
• Performed system audits
• Maintained and updated technical standards and policies
• Was EMEA lead for global Ops loss/profit database
• Was responsible for ensuring problems with transactional reports were identified and fixed
• Tracked all BCP and IS issues from identification to resolution
• Responsible for all MI for EMEA Sales and Trading
• Completed all KRI and KPI report for head of risk
• Disseminated and increased awareness on Information Security and Business Continuity
• Gained 75% attendance for week-long BCP test
• IT contact for all EMEA Sales Trading Audits - 5 occurred under my watch
OCT 2003 - JAN 2006
Barclays Wealth Head of Business Support
Reporting to the COO, I was responsible for the entire finance function and support services, this includes: HR, IT, support staff, physical offices, operational risk and ensuring compliance and growth plans were adequately provide for. It was similar to my previous role at UBS, however as well covering research; I looked after the hedge fund, fund of funds and structured product teams. I had eleven direct reports compromising of IT development, desktop support, Market Data and all administration staff.
• Led a team of 15 reports; all admin staff, developers, BA's and desktop and Market Data support
• Provided advice for all BCP and IS governance
• Accountable for the locational platform management on behalf of Location Manager, as applicable
• Market/locational cost control and P&L support to CIO
• Ensure smooth running of market/location agenda across multiple locations, booking platforms and regulatory
environments
• Locational oversight for the provision of service through internal support functions
• Where required interaction and influencing within wider Barclays group teams to ensure Wealth Management
agenda is managed.
• Responsible for adherence to core Barclays Wealth Management and specific market/locational regulations.
• Overall headcount budgeting and monitoring and ensuring correct market/location/cost centre alignments.
• Human capital management inclusive of resourcing, performance management and EOS.
• Overall responsibility and oversight for cross border sales management across the location/market.
• Ensuring that appropriate processes and controls management for respective jurisdictions.
• Sales management responsibilities in various locations ensuring that support is managed effectively.
• Programme Managed the Market Data programme to move from BLOOMBERG to THOMSON ONE
Reporting to the MD of Equity eProducts, I had sole responsibility to create and distribute video content to UBS institutional clients - globally. This was a cross product role cutting through all instruments within Equities, but also closely working with other areas like FX and Fixed Income. As well as managing new site content, data and software applications, I designed and implemented a global eAccess process and approval system using Oracle CRM. Finally, I was also responsible for the eMarketing of the Client Portal to UK, Arab and Irish clients. Due to my experience, I was the teams Business Manager, responsible for the financials and other operational aspects in running a global team.
• Programme Manager for global project to review client eAccess - across product areas; Fixed Income, Derivatives
• Project managed the cleansing of all global eAccess data for all 3rd Party Vendors.
• Led a team of 5 Business Analysts, 3 developers and 2 Market Data Analysts
• End to end business analysis across full project lifecycle
• Created KRI's and KPI's for product area and completed on quarterly basis
• Project Managed the 1st ever webcast of a UBS conference - Global eFinance Oct 2000.
• Project Managed Delivered UBS proprietary Research database via FACTSET.
• 1st broker on RAW broadband to provide US content www.rawcommunications.com
• Was technical lead of the team that won #1 rated broker website - Extel Europe 2001/2002/2003
• Project Managed current global policy of eAccess to proprietary website and hardcopy of equity research
I was responsible for the entire finance function and support services, this includes: HR, IT, support staff, physical offices, risk management and ensuring compliance and growth plans were adequately provide for. I expanded my role on to the global research platform by taking responsibility of all market data vendor relationships including Reuters, Bloomberg, Datastream, IBES, JCF, Xpedite, AVISTAR, RAW-reporting to the global head of research.
• Led a team of 35 reports; all admin staff, developers, BA's and desktop and Market Data support.
• Responsible for vendor management across global research platform.
• Market/locational cost control and P&L support to MD's.
• Ensure smooth running of market/location agenda across EMEA and their regulatory environments.
• EMEA oversight for the provision of service through centralised internal support functions.
• Where required interaction and influencing within wider UBS teams to ensure Equity Research agenda is managed.
• Responsible for adherence to core Equity Research and specific market/locational regulations.
• Overall headcount budgeting and monitoring and ensuring correct market/location/cost centre alignments for EMEA.
• Ensuring that appropriate processes and controls management for respective jurisdictions.
• Programme Manager for Video on the desktop - the first in the industry
• Completed KRI's and KPI's on a quarterly basis for centralised compliance functions
• Created and headed up the application support team for Global Research
• Created and implemented new Service Level Agreements for Third Party vendors.
• Saved and re-engineered a bank-wide emailing tool from merger with UBS.
• Won a global cross product award
• Project Managed FACTSET, JCF, rationalisation of DATASTREAM
o Saved around $300k per annum
• Significantly reduced REUTERS cost to business by $500k per annum through analysis of access to markets and products on tool.
Responsible for PEP and non-PEP applications, fund switches and transfers.
Responsible for PEP and non-PEP applications, fund switches and transfers at the national unit trust and investment trust centre.
MA International Relations
BA (Hons) Humanities
A Levels - Politics, US Politics, Geography
O Levels - Commerce, English, Geography, Geology, Maths, Photography