James Farrugia
Project and Risk Manager - Financial Services at Forsyths- Claim this Profile
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Bio
Simon Reeves
I worked with James at ANZ on a new team to develop Regulatory reporting in order to meet Dodd-Frank and associated obligations. I found James to be an enthusiastic, hard working team mate. Always has a lot of good ideas and was always very generous with his time. He is very analytical when needed but also a very genuine person to work with; he received nothing but good reports from the other teams we interacted with. I would happily recommend James for any role.
Oliver Williams
James worked for me supporting a Rates Derivatives business in Sydney. He was was a middle office specialist looking after everything from trade capture, reconciliations and control through to complex compression runs, projects and transitions. Due to unforeseen changes that were totally our of our control, the team that James worked in was disbanded when the business he supported was moved offshore. Because of this, James was only with us for a relatively short period of time. During that time, James showed himself to be an excellent member of the business. He quickly estanlished good relationaships with the desk and his team and picked up the role very quickly. Within the first couple of months, James was already showing a desire to contribute over and above his day to day role. He was the first to volunteer for any project or assignment that came up, and showed that he was able to deliver on anything he was given. James did some excellent work on our Trioptima compression runs as well as the ultimate transfer of the business to another desk offshore. I was really sorry to see him go and really enjoyed my time working with him. I would say that James' integrity, interpersonal skills, dedication, ability to think outside of the box and desire to always improve are his stand-out qualities.
Simon Reeves
I worked with James at ANZ on a new team to develop Regulatory reporting in order to meet Dodd-Frank and associated obligations. I found James to be an enthusiastic, hard working team mate. Always has a lot of good ideas and was always very generous with his time. He is very analytical when needed but also a very genuine person to work with; he received nothing but good reports from the other teams we interacted with. I would happily recommend James for any role.
Oliver Williams
James worked for me supporting a Rates Derivatives business in Sydney. He was was a middle office specialist looking after everything from trade capture, reconciliations and control through to complex compression runs, projects and transitions. Due to unforeseen changes that were totally our of our control, the team that James worked in was disbanded when the business he supported was moved offshore. Because of this, James was only with us for a relatively short period of time. During that time, James showed himself to be an excellent member of the business. He quickly estanlished good relationaships with the desk and his team and picked up the role very quickly. Within the first couple of months, James was already showing a desire to contribute over and above his day to day role. He was the first to volunteer for any project or assignment that came up, and showed that he was able to deliver on anything he was given. James did some excellent work on our Trioptima compression runs as well as the ultimate transfer of the business to another desk offshore. I was really sorry to see him go and really enjoyed my time working with him. I would say that James' integrity, interpersonal skills, dedication, ability to think outside of the box and desire to always improve are his stand-out qualities.
Simon Reeves
I worked with James at ANZ on a new team to develop Regulatory reporting in order to meet Dodd-Frank and associated obligations. I found James to be an enthusiastic, hard working team mate. Always has a lot of good ideas and was always very generous with his time. He is very analytical when needed but also a very genuine person to work with; he received nothing but good reports from the other teams we interacted with. I would happily recommend James for any role.
Oliver Williams
James worked for me supporting a Rates Derivatives business in Sydney. He was was a middle office specialist looking after everything from trade capture, reconciliations and control through to complex compression runs, projects and transitions. Due to unforeseen changes that were totally our of our control, the team that James worked in was disbanded when the business he supported was moved offshore. Because of this, James was only with us for a relatively short period of time. During that time, James showed himself to be an excellent member of the business. He quickly estanlished good relationaships with the desk and his team and picked up the role very quickly. Within the first couple of months, James was already showing a desire to contribute over and above his day to day role. He was the first to volunteer for any project or assignment that came up, and showed that he was able to deliver on anything he was given. James did some excellent work on our Trioptima compression runs as well as the ultimate transfer of the business to another desk offshore. I was really sorry to see him go and really enjoyed my time working with him. I would say that James' integrity, interpersonal skills, dedication, ability to think outside of the box and desire to always improve are his stand-out qualities.
Simon Reeves
I worked with James at ANZ on a new team to develop Regulatory reporting in order to meet Dodd-Frank and associated obligations. I found James to be an enthusiastic, hard working team mate. Always has a lot of good ideas and was always very generous with his time. He is very analytical when needed but also a very genuine person to work with; he received nothing but good reports from the other teams we interacted with. I would happily recommend James for any role.
Oliver Williams
James worked for me supporting a Rates Derivatives business in Sydney. He was was a middle office specialist looking after everything from trade capture, reconciliations and control through to complex compression runs, projects and transitions. Due to unforeseen changes that were totally our of our control, the team that James worked in was disbanded when the business he supported was moved offshore. Because of this, James was only with us for a relatively short period of time. During that time, James showed himself to be an excellent member of the business. He quickly estanlished good relationaships with the desk and his team and picked up the role very quickly. Within the first couple of months, James was already showing a desire to contribute over and above his day to day role. He was the first to volunteer for any project or assignment that came up, and showed that he was able to deliver on anything he was given. James did some excellent work on our Trioptima compression runs as well as the ultimate transfer of the business to another desk offshore. I was really sorry to see him go and really enjoyed my time working with him. I would say that James' integrity, interpersonal skills, dedication, ability to think outside of the box and desire to always improve are his stand-out qualities.
Experience
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Forsyths
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Australia
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Accounting
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1 - 100 Employee
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Project and Risk Manager - Financial Services
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Nov 2022 - Present
-Managing projects within the FS team-Working closely with Compliance on developing and implementing the FS operational risk framework -Support Advisers and team with improving service offering to clients and seeking new business opportunities.
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Adviser Support
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Apr 2022 - Nov 2022
Supporting the Financial Services division in Forsyths' Tamworth office
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Westpac Institutional Bank
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Australia
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Banking
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700 & Above Employee
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Associate Director, Financial Markets Trade Support
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Oct 2021 - Mar 2022
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Senior Manager, Financial Markets 1st Line Risk and Controls (FICC)
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Dec 2020 - Oct 2021
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Macquarie Group
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Australia
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Financial Services
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700 & Above Employee
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Senior Manager
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Dec 2019 - Dec 2020
(1 year fixed term contract.) Working for the Regulatory Reporting team, the role's focus is on Project Managing an OTC transaction reporting remediation and back loading projects across CFTC, FCA and ASIC jurisdictions. Additionally, the role involves creating management insight reporting to assist decision making for regional Steering Committees. (1 year fixed term contract.) Working for the Regulatory Reporting team, the role's focus is on Project Managing an OTC transaction reporting remediation and back loading projects across CFTC, FCA and ASIC jurisdictions. Additionally, the role involves creating management insight reporting to assist decision making for regional Steering Committees.
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Sabbatical
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Sydney, Australia
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Sabbatical
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Feb 2019 - Nov 2019
Spent time away from the corporate world to focus on volunteering opportunities, including: Bush regeneration projects around the North Shore and Eastern Suburbs of Sydney, Volunteer at the National Herbarium at the Royal Botanical Garden's digitisation project Volunteer as part of an NDIS sponsored garden maintenance program to allow elderly Australians to safely spend time in their own homes Spent time away from the corporate world to focus on volunteering opportunities, including: Bush regeneration projects around the North Shore and Eastern Suburbs of Sydney, Volunteer at the National Herbarium at the Royal Botanical Garden's digitisation project Volunteer as part of an NDIS sponsored garden maintenance program to allow elderly Australians to safely spend time in their own homes
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Commonwealth Bank
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Australia
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Financial Services
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700 & Above Employee
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Senior Manager, Treasury Business Management
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Oct 2018 - Jan 2019
Hired to work as a Senior Business Manager for Group Treasury, specialising in operational and regulatory issues. Heavily involved in meeting the Bank's requirements laid out in the ASIC BBSW Enforceable Undertaking. This included ensuring that CBA’s policies and procedures were in line with the EU, and working with desk heads where any changes were needed. Lead contact for Treasury’s internal and external audits, including the NFA (National Futures Association, USA) and PWC and communicating the findings or concerns with senior management and the Group Treasurer. The key contact for Treasury on OTC reporting remediation and uplift requirements, working closely with the OTC reform project team. Managed the Model Risk Register and Treasury's Conflict of Interest Register Left the position to pursue personal and volunteer projects. Show less
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ANZ
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Australia
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Banking
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700 & Above Employee
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Associate Director - Markets Business Governance, Global Balance Sheet Trading
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Nov 2016 - Oct 2018
Desk Operational Risk Manager, primarily focused on Markets Balance Sheet Trading globally.The key contact and adviser on operational risk issues with the global head of balance sheet trading. Ran conduct and conflicts of interest training sessions with the global Balance Sheet team.First Line of Defence against operational risk by sitting with the trading desk. Acted as a trusted adviser to the trading team, assisting in managing any potential operational or compliance issues proactively, and where needed escalating these issues to meet compliance.Presented monthly management reporting on operational risk issues, identified market issues and any concerning trends that could be proactively remedied. Show less
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Manager - Rates and Credit Front Office Support for Australia and New Zealand
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Mar 2015 - Oct 2016
Seconded into Front Office Support in November 2014 to cover internal staff movements, and made permanent in March 2015. Supported Rates and Credit trading and sales desks across corporate, commercial, institutional and investor customer base. Successfully managed the FI trade support team in Australia and New Zealand, and spent time as acting head of Australian Front Office support covering all Markets product groups.While in this role, completed a three-month secondment in Adviser Support for the Corporate and Commercial Rate Sales desk covering an employee on paternity leave.Successfully ran a project where Front Office Support tasks were handed over to a new team in India (offshoring) and spent three weeks on the ground in Bangalore, and ongoing support provided for several months after completing the trip. Show less
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Manager - Middle Office, Trade Flow Support
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Jul 2014 - Mar 2015
Member of the middle office team responsible for the accurate regulatory reporting of OTC trades.
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Barclays
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United Kingdom
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Financial Services
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700 & Above Employee
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Assistant Vice President
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Jan 2014 - Jul 2014
Trade support for rates, credit, repo and fx until business left Australia. Trade support for rates, credit, repo and fx until business left Australia.
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ANZ
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Australia
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Banking
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700 & Above Employee
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Business Analyst (Contract) - Trade Flow Support
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Dec 2012 - Dec 2013
Focus on OTC reform legislation within the middle office, global markets space across the full global trading set. Creating, implementing and improving a middle office framework for ANZ to use. Worked with the ANZ OTC Reporting Engine developers and BA’s to troubleshoot reporting issues and make improvements, including the immediate remediation and escalation of reporting errors. Developed key requirements for, and ran live reconciliations to ensure trade reporting was accurate and timely. Experienced with Murex, Matkitwire, DTCC and HP quality centre. Show less
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AMP
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Australia
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Financial Services
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700 & Above Employee
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Financial Planner
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Apr 2012 - Nov 2012
Financial planner with 8 years experience in financial markets, specialising in working with clients to identify their financial goals, and move towards them. Financial planner with 8 years experience in financial markets, specialising in working with clients to identify their financial goals, and move towards them.
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Student
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Nov 2011 - Apr 2012
Full time study of Diploma of Financial Services. Full time study of Diploma of Financial Services.
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Macquarie Group
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Australia
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Financial Services
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700 & Above Employee
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Trading Assistant- AVP (Manager)
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Apr 2010 - Nov 2011
Trading assistant for a securitised bond and corporate credit prop desk, and a sales and trading desk. Reported to the COO of credit trading.Responsibilities include :• Generation of desk P&L• Assisting in certain business management functions including reporting• Working with Finance (Product Control) for flash P&L• Maintaining close relationships with internal risk and credit control groups to ensure compliance with key Macquarie and regulatory policies• Assisting in transaction booking and maintenance of factors and pay-downs on fixed income positions • Notifying internal groups of funding needs and positions• Supporting a range of debt, equity, and derivative products: long/short bonds, high yield and high grade bonds, corporate index trades (CDX, iTraxx, LCDX), LCDS, CDS on single name corporate, par and distressed bank loans, common stocks, interest rate swaps, US treasuries, repo/reverse repo financing• A strong knowledge of Bloomberg, Excel, DTCC and Macquarie's in house risk and trade capture systems Show less
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Manager - Fixed Income Dealer Support
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Aug 2008 - Apr 2010
Managed a team responsible for supporting front office across credit trading, sales and trading and Latin American bond businesses. The team's responsibilities included:• Being the first point of contact for front office operational issues• Creating bond static for accurate pricing and risk• Verifying the accuracy of FI, securitised bond, CDS, equity option and syndicated bank loan bookings• Confirmation and reconciliation of the above products
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Various - Fixed Income Operations
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Sep 2003 - Aug 2008
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Education
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2009 - 2015
Monash University
Bachelor of Business and Commerce, Finance and Macro Economics -
Kaplan
Graduate Certificate of Applied Finance -
2011 - 2012
RG 146 Training Australia
Diploma of Financial Planning, RG 146 Compliance -
2002 - 2002
TAFE
Diploma of Business, Business -
FINSIA
Diploma of Financial Markets
Community
