Director, Internal Audit & Risk

• May 2021 - Present

Head of Risk & Controls, Finance

• Dec 2017 - Sep 2019

Manage overall governance and risks related to all financial matters of the firm. Assess risk management system, with a focus on controls, processes, and remediation of open issues. Identify risk and gaps in coverage. Drive implementation of closure plans, inclusive of technology solutions. Liaise with Legal, Compliance, Internal Control, and External Audit; provide overall transparency and reporting to the senior management team and stakeholders. Manage overall governance and risks related to all financial matters of the firm. Assess risk management system, with a focus on controls, processes, and remediation of open issues. Identify risk and gaps in coverage. Drive implementation of closure plans, inclusive of technology solutions. Liaise with Legal, Compliance, Internal Control, and External Audit; provide overall transparency and reporting to the senior management team and stakeholders.

Head of CAO Risk & Controls, Americas

• Sep 2014 - Jan 2016

Managed the creation and implementation of the central Controls team for the Americas, reporting to the Chief Administrative Officer, leading a 35 person team.Drove the implementation of an effective risk management framework across Corporate Institutional Banking (CIB) in line with the Bank's three lines of defense model, with a strong focus on Technology delivery and change, including Data Management, Infrastructure, Vendor Management and Cybersecurity.Provide sponsorship and steer for embedding changes to the operating model to meet regulatory and conduct strategy. Face off to the Boston and New York Federal Reserve Banks, as well as FINRA.Developed a core Business Intelligence team and implemented a Data Analytics solution to the Senior Executive team, as well as the implementation of various management tools to the overall CIB business areas. Show less

Head of Business Management, Global Special Situations Group, US Flow Credit Trading

• Jan 2010 - Sep 2014

Accountable for overall management of the Fixed Income desks, comprised of 80+ staff with an annual~100mm P&L. Drove key business initiatives in collaboration with internal cross functional stakeholdersPartnered with Finance and Market Risk to drive ROE, focusing on a reduction of RWA's, capital usage and costs. Accountable for annual budgets and targets, review and implementation of all Dealing Authorities and desk limits.Focused on Regulatory compliance. Dodd Frank/Volker implementation, defining and managing business model impact.Successfully managed the exit of two major business lines as part of a global change in strategy.As the Markets representative to the Technology Design Board, reviewed all new trading Technology proposals and ongoing project plans. Show less

Director, Head of Loan Markets Middle Office

• Jan 2005 - Jan 2010

Managed the Middle Office team supporting Distressed and Par Loan Trading, Equities, Fixed Income and Syndicate businesses.Extensive project management in the both the US as well as UK. Loan Markets representative to the Global Loans Programme, restructuring of Corporate Banking. Successful development and implementation of integrated Loan Syndication/Trading system for US and UK desks.Active in the LSTA; Member of the Primary Syndication Committee, as well as the LCDS working group.

Director, Secondary Loan Trading

• Jan 2000 - Jan 2005

As a member of the Secondary Loan Sales & Trading desk, work closely with traders, salespeople, syndications, legal counsel, investors, and borrowers to facilitate and control closing process, successfully managing $6B annual volume. Managed development and implementation of LoanTrak, automated bank debt trading system. Responsible for P&L, Trading, Risk Management and Compliance issues, including Legal and Reputational Risk As a member of the Secondary Loan Sales & Trading desk, work closely with traders, salespeople, syndications, legal counsel, investors, and borrowers to facilitate and control closing process, successfully managing $6B annual volume. Managed development and implementation of LoanTrak, automated bank debt trading system. Responsible for P&L, Trading, Risk Management and Compliance issues, including Legal and Reputational Risk