Mark Cooke
Industry Expert at RegTech Associates- Claim this Profile
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Bio
Credentials
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Chartered Accountant - ICAEW
INSTITUTE OF CHARTERED ACCOUNTANTS IN ENGLAND AND WALES
Experience
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RegTech Associates
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United Kingdom
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Financial Services
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1 - 100 Employee
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Industry Expert
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Jul 2022 - Present
Participant on Advisor body for RegTech and RiskTech promotion in Financial services Participant on Advisor body for RegTech and RiskTech promotion in Financial services
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Self-employed
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Real Estate
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1 - 100 Employee
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Advisor to FinTech & Academia and Principal of Mores Risk Advisory
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Jan 2021 - Present
Technology based risk management initiatives. Technology based risk management initiatives.
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HSBC
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United Kingdom
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Financial Services
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700 & Above Employee
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Group General Manager, Group Head of Operational Risk
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Jan 2014 - Jan 2021
The role acts as the Accountable Executive for the Firm wide Operational risk management framework, policy and practices to manage non financial risk at HSBC, reporting directly into the Group Chief Risk Officer and responsible for the Operational Risk oversight teams across all four Global Businesses . This role is responsible to set the vision and direction for the management of Non Financial risk at HSBC, setting out the core processes & practices, control frameworks and risk platform to manage non financial risk. It provides the umbrella function to harmonise and integrate the risk management of regulatory compliance risk , Financial crime risk, Conduct risk, Cyber risk, Accounting risk, Legal risk and Technology risk amongst others. The role requires extensive engagement with Regulators from around the World, NED’s and Group Executive leadership in driving the risk management agenda of the non financial risks faced by the group. The Group Head of Operational risk is the accountable executive for a number of Firm wide strategic risk issues, including the Group wide transformation of the operational risk management capability and the design and operating effectiveness of the 3 line of defence model across the organisation. In driving a sustainable risk management culture, the role is responsible to provide the direction and leadership of the Enterprise wide behavioural incentive framework, as part of ensuring that risk management behaviours are aligned with incentives and consequences. Show less
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Industry Advisor and Former Chairman
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Dec 2016 - Dec 2020
ORX is the Industry Association for Operational Risk management, helps the global financial services industry measure and manage operational risk. ORX research, improve understanding and share knowledge to benefit its Members and the wider sector. ORX provides a platform for the secure interchange of operational loss data for over 90 Financial Institutions around the world. ORX is the Industry Association for Operational Risk management, helps the global financial services industry measure and manage operational risk. ORX research, improve understanding and share knowledge to benefit its Members and the wider sector. ORX provides a platform for the secure interchange of operational loss data for over 90 Financial Institutions around the world.
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Chief Risk Officer
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May 2009 - Dec 2013
Executive Officer responsible for the independent risk oversight across Barclays Wealth and Investment Management (BW&IM), ensuring that the Risk framework is effective and implemented across the various businesses within the division to manage the primary and consequential risks associated with the BWIM enterprise. This involves leading a team of approximately 140 personnel operating across the globe. The Wealth Chief Risk Officer manages a direct team of Managing Directors and senior Directors which form the Risk Executive, consisting of Regional Chief Risk Officers and functional heads for credit, operational and market risk. The role reports directly into the Divisional Chief Executive and the Group Chief Risk Officer and was appointed to the BW&IM Management Committee in January 2012. Show less
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UBS
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Switzerland
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Financial Services
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700 & Above Employee
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Chief Operational Risk Officer for EMEA and Global Equities
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Jul 1997 - Apr 2009
Responsible for both the operational risk oversight of the EMEA region and Global Equities at UBS Investment Bank. Prior to Risk (2004), was a Managing Director in Global Operations, working both in the UK and USA. Responsible for both the operational risk oversight of the EMEA region and Global Equities at UBS Investment Bank. Prior to Risk (2004), was a Managing Director in Global Operations, working both in the UK and USA.
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Education
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University of Warwick
BSc, Physics & business studies
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