Experience

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  Bank Leumi UK plc

  • London, United Kingdom

  • Senior Compliance Officer

    • May 2018 - Present
    • London, United Kingdom

• 

  OFGEM Energy Regulator

  • London, United Kingdom

  • NED. Member of Enforcement Decisions Panel

    • 2014 - Present
    • London, United Kingdom

• 

  BLME

  • London, United Kingdom

  • Chief Compliance Officer & MLRO

    • 2016 - May 2018
    • London, United Kingdom

    Regulatory Oversight of the Bank.

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  Berkeley Research Group LLC

  • London, United Kingdom

  • Advisory Consultant, Conduct Risk & Regulation

    • Sep 2015 - May 2016
    • London, United Kingdom

    Delivered training and facilitated workshops.

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  Vitality UK

  • London, United Kingdom

  • Internal Audit Director

    • Apr 2013 - Mar 2016
    • London, United Kingdom

    Head of internal AuditFormally Head of Compliance & Financial Crime.

• 

  ACE Group

  • London, United Kingdom

  • Interim Compliance Officer & Money Laundering Reporting Officer

    • Jul 2012 - Mar 2013
    • London, United Kingdom

    Interim Head of Compliance & MLRO for ACE European GroupProviding Compliance & Financial Crime oversight, advice and support to 28 countries.

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  Barclays Bank

  • United Kingdom
  • Financial Services
  • 700 & Above Employee

  • Director Governance, Structure & Control Europe Retail & Business Banking

    • Jul 2011 - Mar 2012

    Enhanced Governance and Control by oversight

  • Head of Compliance Retail & Business Banking

    • Oct 2004 - Jul 2011

    • Built a world class Compliance function and created a centre for excellence for all UK Compliance matters .• FSA Approved Person (CF10) responsible for all Compliance issues across the Retail Banking and Business banking. • Led through change required group wide regarding MiFiD implementation. Program delivered on time and within budget with no regulatory issues identified. • Enforced regulatory risk control framework including, culture change, corporate governance, continuous risk oversight.• Day to day oversight of business practices and influencing on key strategic decisions regularly providing updates to the board of Barclays on regulatory matters.• Provided due diligence and oversight during the Standard Life merger and integration.• Subject matter expert providing advice to the EXCO and Executive Management of Barclays Retail Bank on topics pertaining to Regulatory and Risk Management.

• 

  Lloyds Banking Group

  • London, United Kingdom

  • Head of Compliance and Sales Risk Director

    • 1983 - 2004
    • London, United Kingdom

    • Compliance and Sales Risk Director (2001 - 2004 ): responsible for compliance, financial crime and risk for 2,500 UK banking branches and operations including Cheltenham & Gloucester Building Society, Lloyds Private Bank and Lloyds Stockbrokers. Developed risk assessment methodologies and effective control frameworks. • Led a team of 530 compliance and risk professionals reporting to the CEO of Retail Banking• Ensured that key learns from high profile internal projects were transferred into business as usual daily management of the Bank, saving the organization significant costs on ongoing basis. • Compliance Director (1999 – 2004). Responsible for compliance, risk and money laundering prevention in respect of 2,300 banking branches. Designed, implemented and monitored new systems of control, supervision and training.• Restructured the lines of defense control framework including training for 44,000 members of staff• Risk Director (1994 – 1999). Responsible for legal, audit, compliance and corporate risk for the bank’s life assurance, pensions and unit trust companies. Ensured prevention of any problems during a period of significant expansion and regulatory change.• Led a program responsible for identifying 13m customers for KYC and AML purposes• Assistant Executive Director of Finance (1983 – 1994). Responsible for investment strategy, finance, taxation, audit and premises for the Black Horse Financial Services companies (6 companies). Made significant cost savings. As a board director of the bank’s companies maintained a watching brief on risk and corporate governance. • Part of the team on Abbey Life purchase from due diligence to integration. • Led the strategic build from a financial and risk point of view of a sales force of over 2,500 personnel and a team of 400 compliance and actuarial professionals during the pension review (5 years)