Experience

Ogier

• United Kingdom
• Professional Services
• 700 & Above Employee

• Head of Regulatory Operations

  • Jan 2023 - Present

  As Head of Regulatory Operations, I am responsible for leading Ogier's global Client Onboarding Unit (COU), Periodic Review (PR) and Business Review Unit (BRU). Working closely with the Group's Risk & Compliance Teams, the team ensures that Ogier employees adhere to the regulatory obligations and conform to industry leading practices and professional standards. Key Responsibilities • Providing strong leadership and management of c60 team members; • Responsible for the delivery of processing of high volumes of matters at a high degree of accuracy; • Stakeholder engagement including working closely with the respective Service Line Heads, Risk & Compliance function, OGL Directors and Senior Management to ensure a strong understanding of and adherence to the client acceptance and KYC policies and procedures; • Lead the delivery of operational efficiencies in Ogier's internal client onboarding processes, to drive both accuracy of process execution and capture of data quality within core systems; • Identify and implement new technologies that create efficiencies, accuracies and a high calibre client experience; • Oversight of the end-to-end processes, ensuring associated AML/CFT and business risks have been appropriately identified, assessed and documented; • Implementation of necessary quality assurance processes within the team; • Provide regular reporting to Ogier Audit & Risk Committee and Group Operational Boards with respect to the adherence by the Business to the client onboarding process as well as the team's own operational performance; • Identify any risks in the client lifecycle management process and recommend strategies to mitigate; • Provide support and guidance to senior management to ensure AML/CFT risks posed by the client base to Ogier Global are appropriately and adequately identified and managed.



Apex Group Ltd

• Bermuda
• Financial Services
• 700 & Above Employee

• Head of Client Services and Operations

  • Oct 2021 - Jan 2023

  As a member of the senior management team, I have responsibility for the overall quality of all deliverables of the operations team (comprising Governance, Client Support, Management Information and Systems, Client Accounting, Facilities and Fee Projects) Key Responsibilities and Deliverables include: - Overall responsibility for inter-entity outsourcing arrangements, including acting as a primary interface for the variouslocations. - Identify and manage efficiencies in current business processes. - Oversee the in-house accounting function to ensure timely and accurate preparation of accounting records and financial statements for client structures. ‐ Timely and accurate production of various regular and ad hoc Management Information and Reports, including insightful trend and data analysis to ensure effective senior management decisions. ‐ Act as key stakeholder and subject matter expert for Regulatory and Tax reporting, support and monitor new upcoming regulatory requirements and changes to existing obligations, and to ensure complete, accurate and timely Regulatory and Tax reporting for clients, including FATCA/CRS. - Establish and manage the process of monitoring change initiatives/projects which support the implementation of our strategy, and integrating insight from risk and performance reporting processes to identify and address any issues. - Oversee and provide governance support for business units and in-house companies, including data protection and policies and procedures framework. - Line-manage, motivate and support the Operations Managers and their staff teams, by encouraging organisational learning and the sharing of good practice, including undertaking performance management and supporting development needs.



UBS

• Switzerland
• Financial Services
• 700 & Above Employee

• Head Of Operations Jersey, IPS Wealth Planning Trusts & Foundations

  • Jul 2017 - Sep 2021

  Key Responsibilities and Deliverables included: ‐ Work with the Senior Management Team to ensure organisational initiatives and objectives are coordinated and support the delivery of the Trust’s strategy, including determining which functional objectives/initiatives affecting the operations of the Trust should progress.- Act as a primary interface between the Trust Company and other UBS AG divisions including Group Corporate Services and Regional Controlling and Accounting.- Identify and manage efficiencies in current business processes.- Oversee the in-house accounting and fee-billing function to ensure timely and accurate preparation of fees, accounting records and financial statements for client structures.‐ Timely and accurate production of various regular and ad hoc Management Information and Reports for review and presentation at management meetings. This includes insightful trend and data analysis to ensure effective senior management decisions.‐ Oversight of the internal systems used by the Trust Company, through monitoring the performance of the Service Level Agreements with IT, report handling, and monitoring input and output from the relevant IT systems.- Establish and manage the process of monitoring Trust initiatives/projects which support the implementation of our strategy, and integrating insight from risk and performance reporting processes to identify and address any issues.- Line-manage, motivate and support the Operations Managers and their staff teams, by encouraging organisational learning and the sharing of good practice, including undertaking performance management and supporting development needs.

• Programme Manager, Regulatory and Strategic Change Management

  • Jul 2016 - Jul 2017

  - Providing strategic guidance to both senior management and project teams in ways that promote UBS' culture.- Ensuring end to end delivery of projects, either as a stand-alone or as part of a program of work, by co-ordinating cross functional workflows.- Fostering stakeholder engagement by developing meaningful relationships with key contributors and workstreams to the project.- In depth analysis of the implications of regulatory and strategic changes to the business and identification of risks, opportunities and viable solutions.- Key responsibilities include: * Formulation, organisation and monitoring of inter-connected projects; * Facilitation of the definition of project/programme scope, goals and deliverables; * Defining the project/programme plan, including tasks, resource requirements and budgets; * Applying change, risk and resource management; * Resolution of programme issues and escalation to stakeholders; * Compilation of senior management and other stakeholder reports; * Leading and evaluation of project managers and other staff; and * Management of the project budget and resource plans.



KPMG in the Crown Dependencies

• United Kingdom
• Financial Services
• 300 - 400 Employee

• Advisory Manager

  • Sep 2014 - Jul 2016

  - Assist in the execution of a wide range of advisory services including: * Capital markets transactions; * Due diligence exercises; * Regulatory and business process improvement; * Fiduciary and AML reviews - Preparation of client pitches and proposals - Developing sector and product knowledge - Client relationship management, business development and service delivery - Assist in the execution of a wide range of advisory services including: * Capital markets transactions; * Due diligence exercises; * Regulatory and business process improvement; * Fiduciary and AML reviews - Preparation of client pitches and proposals - Developing sector and product knowledge - Client relationship management, business development and service delivery



Capitec

• South Africa
• Banking
• 700 & Above Employee

• Business Intelligence Team Leader: Credit

  • Jun 2014 - Aug 2014

  * Development of enterprise-wide reporting solutions including:- Development of SQL queries- Development and design of end-user reports (Excel and Qlikview)- Performing testing of reporting solutions · Coordinate multi-departmental project teams and design stakeholder roles. · Perform analysis of data including trend analysis· Assess and assign specific tasks to Business Intelligence Analysts

• Financial Reporting Accountant

  • Mar 2012 - May 2014

  * Compilation of IFRS complying AFS* Compilation of the integrated annual report* All tax matters including tax returns, provisional tax estimates and tax calculations* Monthly management reporting to Exco* Share option and share appreciation right valuations* Quarterly, interim and annual forecasting* Assist in budgeting forecasts



PwC

• Stellenbosch

• Article clerk

  • Mar 2009 - Feb 2012

  * Audit of various companies (retail and manufacturing) * Compilation of AFS * Tax calculations and tax returns (individuals and corporate) * Audit of various companies (retail and manufacturing) * Compilation of AFS * Tax calculations and tax returns (individuals and corporate)