Senior Regulatory Consultant
EQUINITI Digital
Total des années d'expérience :26 years, 10 Mois
FRONT OFFICE INVESTMENT BANKING: Familiar with the full end to end client life-cycle, pricing, best execution matching engines and downstream middle and back office processes.
•REGULATORY SUBJECT MATTER EXPERT: Deeply familiar with the AML4 / KYC anti-money laundering and anti-financial crime regulations as well as the GDPR data protection regulations. Have been involved as overall lead in numerous UK / FCA regulatory delivery programmes.
•IT TECHNOLOGY / SOFTWARE MANAGEMENT: Originally come from a computer science and programmer background. Ran a software development business in the USA for 9 years. AGILE!
Worked closely with the MD who founded the KYC business to develop new KYC product propositions, Enhanced feature roadmaps and align to new technologies like Blockchain/AI.
Provided AML4 and GDPR regulatory subject matter expertise across the organisation
Served as a Regulatory Subject Matter Expert to face off directly to some EU regulators
Represented EQUINITI KYC at the London AMLP Conference and gave KYC Masterclass talks
Consulted and advised on various MCOB / CCA loan rectification efforts with key banking clients
Worked as an interim with the founders of this start-up to help define a clear business vision and product proposition related to AML4 / KYC modular tools that they plan to release to the market
Provided AML regulatory subject matter expertise support to ensure new product alignment
Involvement in ID&V, Beneficial Ownership, Sanctions Screening, PEP Screening, Customer Risk Rating, SDD/CDD/EDD concepts and consulting for their new products
Provided AGILE software development project management delivery support across all products
- Financial Crime (London/EU/Global
Financial Crime TOM (Target Operating Model)
Built a Financial Crime AML/KYC and Transaction Monitoring Target Operating Model (TOM) team. This was an interim role based in the Corporate bank and working with Group FinCrime.
Developed a number of AML/KYC related global utility functions that resulted in substantially reducing cost and headcount while standardising quality of many KYC operational functions
Worked closely with a number of leading Big 4 consultancies to help craft some of the latest thinking and advances around Financial Crime processes for large global-multinational banks.
Coordinated closely with IT Technology to help design and build out the KYC/AML infrastructure
A new Financial Crime TOM was completed and delivered to the FCA regulator
Reported directly into the Senior MD who runs all of Barclay's global operations
Successfully restructured, re-resourced and delivery managed this large, complex rectification portfolio that included PPI, CCA loan rectifications and MCOB mortgage rectifications
Sole responsibility for a portfolio of 300+ delivery resources and delivery budgets of £100 million
Managed a number of Big 4 consultancies who were embedded within the delivery teams
Portfolio was successfully put back on track and has now successfully delivered. Interim role.
Provided regular reports directly to the The Board and ExCo as well as the FCA regulator
FX & Client Life-cycle Regulatory, Dodd-Frank, EMIR, Others
Built a front office investment banking regulatory change and transformation team from scratch
Delivered programmes related to client life-cycle, new product development, Dodd Frank, EMIR, FX Trading, FX Pricing Transparency and Interest Rate Hedge Misselling. Interim role.
Reported directly into a number of Front Office Trading Floor MD's who I worked with daily
About Me
•I am an avid motorcyclist, cyclist, health fanatic and cinema buff. I enjoy going to the gym for weight lifting on a regular basis and own my own high-end LifeCycle exercise bicycle to stay in shape. My favourite cuisine is authentic very hot and spicy Sichuan. As an active member of ACAMS I follow the latest global developments in Anti-Financial Crime / Anti-Money Laundering / Anti-Terrorist Financing to stay at the forefront of KYC. New Blockchain and Artificial Intelligence technologies fascinate me and I regularly attend the latest conferences to stay abreast of these new future technology trends. I also dabble in fully regulated crypto-currency trading and especially like Ethereum. I write eBooks on various topics in my free time and occasionally serve as an expert KYC / AML speaker at various conferences, events and podcasts. My Meyers-Briggs personality type is the quite rare (3%): “ENTJ”. I have lived and worked in 6 countries globally and hold dual USA and UK citizenship. My permanent long-term home base with family is greater London, UK (Surrey). I have my own UK VAT registered limited company through which I do interim contract work - available across the UK, EU & Globally.
Chartis / AIG Insurance
Solvency II Programme Director (London, New York) - Rescue & Restructure Programme
MiFID - End to End Delivery
Market Abuse Detection - End to End Delivery
Private Investor Products - End to End Delivery
- New Global Executive Pension System & Share Register Migration - End to End Delivery
roles - End to End Delivery of various investment banking IT technology and software development programmes across both business and technology. EMU, Payments, Treasury
courses: UK OGC Managing Successful Programmes (MSP) - Past Certification MSPR 5667