Experience

Deutsche Numis

• Investment Banking
• 1 - 100 Employee

• Head of Settlements, Custody and Corporate Actions

  • Aug 2022 - Present

  London, England, United Kingdom



HSBC

• United Kingdom
• Financial Services
• 700 & Above Employee

• MSS Ops, CCO, Director, Global Head of Global Distribution and Transfer Agency Line Control

  • Jan 2021 - Mar 2022

  London, England, United Kingdom • Established GDTA Line Control globally (13 Countries) by building valued relationships with senior leadership team and Country heads, delivering a valuable partnership to the business, inserting Line Control into all escalation paths and created the required challenge; route cause analysis and issue tracking via creation of data repository to ensure all information retained to avoid duplicative requests. • Redesigned global monthly governance materials to drive data driven leadership by… Show more • Established GDTA Line Control globally (13 Countries) by building valued relationships with senior leadership team and Country heads, delivering a valuable partnership to the business, inserting Line Control into all escalation paths and created the required challenge; route cause analysis and issue tracking via creation of data repository to ensure all information retained to avoid duplicative requests. • Redesigned global monthly governance materials to drive data driven leadership by introducing key metrics with appropriate thresholds to ensure appropriate analysis of areas of concerns, detailing action plans for remediation with partnership from the business being key. • Executed a global review of transaction monitoring mapping current state system architecture and manual processes. Delivered risk acceptance of current state working with relevant stakeholders explaining associated risks versus appetite and partnered with Financial Crime Compliance to provide a road map to move to HSBC’s strategic solution removing risk and manual process. • Implemented a control sub-ledger to provide GDTA’s first global holistic risk lens. All manual processes and risks mapped with automation path included, risk rated to provide key data to system prioritisation decisions and maximise value of spend. • Facilitated the implementation of non-financial risk transformation programme by; o Programme managing the controls transformation, policy rewrite, continuous monitoring development and risk system implementation. o Developing continuous monitoring strategy and embedding across all Operations sites globally. o Leveraging the team’s knowledge to build a control and conduct programme that promotes a strong risk and conduct culture in the business line including, training, awareness & capability assessment.

• MSS Ops, Head of Broker Outsourcing Ops GSC & DCC Malaysia, Director

  • Jan 2018 - Dec 2020

  Kuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia • Designed and delivered new target operating model to reduce handoffs, delayer organisational construct, improved staff engagement and understanding through consistent targeted training program, and introduction of an exception management process with dedicated quality assurance. This resulted in 50% reduction in operational staff and a circa $2million annual save. • Maintained HSBC position as number one custody provider in Malaysia, with zero client exits and a significant regional… Show more • Designed and delivered new target operating model to reduce handoffs, delayer organisational construct, improved staff engagement and understanding through consistent targeted training program, and introduction of an exception management process with dedicated quality assurance. This resulted in 50% reduction in operational staff and a circa $2million annual save. • Maintained HSBC position as number one custody provider in Malaysia, with zero client exits and a significant regional mandate won. Partnered with Bursa Malaysia on their multi year transformation program running various pilot programs and testing sessions. Delivered best in class market advocacy to our clients leveraging market relationships and technology views. • Implemented supporting strategies, policies and procedures to ensure that operational (and other) risks are managed closely and effectively, in a commercially sensitive and practical manner. This resulted in no significant losses, the removal of aged reconciliation breaks and a consistent month on month improvement on our key risk indicators. • Partnered with Chief Control Office to ensure appropriate risk and control structure in place and that risks that were highlighted were managed appropriately. • Developed and attracted talent through strong communication leveraging various styles and types to provide clear direction for the product securing hearts and minds across locations. • Partnered with change teams to implement both strategic and tactical change programs to increase productivity and reduce our risk profile, including multi-year removal of legacy core technology for our Hong Kong business and replace with our target operating system with zero impact to business or clients.

• HSBC Securities Services - Broker Outsourcing Head of Control, Vice President

  • Jan 2016 - Dec 2017

  London, England, United Kingdom • Designed and implemented a robust internal and commercial control offering for newly created third party outsourcing department (Broker Outsourcing). Full review of Securities Services and Markets functional instruction manuals (FIM’s) to ensure compliance to both. Delivered clear RACI’s and escalation matrix for both internal and external client purposes. Partnered with global compliance teams for both business with appropriate stakeholder engagement and sign off prior to… Show more • Designed and implemented a robust internal and commercial control offering for newly created third party outsourcing department (Broker Outsourcing). Full review of Securities Services and Markets functional instruction manuals (FIM’s) to ensure compliance to both. Delivered clear RACI’s and escalation matrix for both internal and external client purposes. Partnered with global compliance teams for both business with appropriate stakeholder engagement and sign off prior to go-live. • Designed global monthly governance materials to drive data driven leadership by introducing key metrics with appropriate thresholds to ensure appropriate analysis of areas of concerns. Risk metrics held in a consistent format to enable creation of internal and external packs from single sourced data. • Developed a high performing globally aligned team working to the same goals and principles by retaining and attracting top performing diverse talent, ensuring consistent development conversations, providing clear achievable goals and objectives, regular team sessions encouraging thought leadership and idea sharing. • Established a culture of risk awareness on a global basis across the Broker Outsourcing product leveraging various environments including risk-based games, lunch and learn sessions, and mandatory classroom style sessions covering lessons learnt from key risk issues. • Delivered process and control improvements that reduced both inefficiency and risk, which created a strong partnership between risk and the business. Various execution methods, deep dive of process with business interviews to validate understanding of each control and the associated risks, review of control checklists removing redundant legacy checks, and executed global control amnesty to flush out legacy concerns.

• HSBC Market Operations – BRCM Equity Franchise Lead,

  • Nov 2013 - Dec 2015

  London, England, United Kingdom • Business understanding of each product (Cash Equity, Prime Finance, Equity Derivatives & Asset Services) including front to back flows, system architecture and key risk & controls. Built global senior leadership support to partner with them to execute agreed book of work. • Developed a high performing globally aligned team working to the same goals and principles by retaining and attracting top performing diverse talent, ensuring consistent development conversations, providing clear… Show more • Business understanding of each product (Cash Equity, Prime Finance, Equity Derivatives & Asset Services) including front to back flows, system architecture and key risk & controls. Built global senior leadership support to partner with them to execute agreed book of work. • Developed a high performing globally aligned team working to the same goals and principles by retaining and attracting top performing diverse talent, ensuring consistent development conversations, providing clear achievable goals and objectives, regular team sessions encouraging thought leadership and idea sharing. • Established a culture of risk awareness on a global basis across the business lines leveraging various tools including risk-based games, lunch and learn sessions, and mandatory classroom style sessions covering lessons learnt from key risk issues. • Delivered process and control improvements that reduced both inefficiency and risk, which created a strong partnership between risk and the business. Various execution methods, deep dive of process with business interviews to validate understanding of each control and the associated risks, review of control checklists removing redundant legacy checks, and executed global control amnesty to flush out legacy concerns.

• HSBC Market Operations – Equity Product Head GSC

  • May 2011 - Oct 2013

  Kuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia • Built out the organisational structure and implemented succession planning in both Malaysia and the Philippines. Developed and attracted talent through strong communication and clear goals leveraging various styles and types to provide clear direction for the product securing hearts and minds across locations. • Partnered with regional Equity product heads in Market Operations to plan and execute future migrations and location strategy, resulting in Cash Equity settlement for UK balance… Show more • Built out the organisational structure and implemented succession planning in both Malaysia and the Philippines. Developed and attracted talent through strong communication and clear goals leveraging various styles and types to provide clear direction for the product securing hearts and minds across locations. • Partnered with regional Equity product heads in Market Operations to plan and execute future migrations and location strategy, resulting in Cash Equity settlement for UK balance sheet being fully migrated off-shore and 50% from Hong Kong balance sheet. • Established materials, training programmes to ensure specialist product and process knowledge retained and handed on appropriately to new staff. Delivered a cultural change to make procedures and living and breathing document by investing key staff to ensure they were of the right quality with ongoing check points. • Delivered split site processing across KL and Manila rebalanced activities between the two sites to ensure full contingency capability, driven by a time and motion study, analysis of exception volumes and market cut-off’s which provided best in class recovery. • Partnered with change teams to implement both strategic and tactical change programs to increase productivity and reduce our risk profile reducing year on year operational losses and a 20% decrease in headcount.

• HSBC Market Operations – Securities Lead, AVP International Settlements

  • Oct 2000 - Apr 2011

  London, England, United Kingdom