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25 years experience in Financial Services and Capital Markets starting in Market Risk on the trading floor managing Value-at-Risk for Equity and Convertible Bond books in specialty and all traded products in generality including FX. 20 years experience in Internal Audit / Controls assessment subsequently, across Capital Markets and Wholesale. Responsible for the full audit cycle from risk identification, fieldwork, issue / action plan construction and stakeholder management and buy-in through to final report delivery.
Lead - CITIBANK
(2024-10 - 2025-12)
Lead working groups on a 6 month project managing the uplift of the risk and controls inventory from current to target state for a Tier 1 Investment Bank. Effort involved understanding of required objective, design of the Target Operating Model, transformation steps and universe in-scope, work allocation, stakeholder management and daily progress analysis to deliver a robust and fit for purpose repository consequent to a regulator consent order and one that would pass scrutiny on re-examination. Responsible for delivery risk identification and mitigation, dependency tracking, decision logging and any escalation / timely intervention.
Clarity on control ownership, review and challenge as necessary and effective control capture review was elemental to the programme. Challenge included policing for control vs process descriptions and adherence to standard [ 5 Ws ]. Additional SME advisory prior to PM role in Inherent Risk and controls review and assurance across the bank's Markets Controls framework.
SME audit advisory - AMS DEUTSCHE BANK
(2023-05 - 2024-03)
SME audit advisory and execution to help remediate regulator [ eg. FRB ] concerns for a Tier 1 investment bank. Additionally provide SME consultancy as required across the Audit plan need including, for example, in relation to Regulatory Horizon scanning.
SME audit / programme management - PROTIVITI UK [ Deutsche Bank, Citi Bank ]
(2021-06 - 2022-11)
SME audit / programme management and execution to help remediate regulator [ eg. FRB ] FX Consent Order concerns for a number of Tier 1 investment banks. Additionally provided SME consultancy as required across the Audit plan need, to help mitigate relevant risks for these client(s).
Senior Lead Auditor - WELLS FARGO
(2019-12 - 2021-05)
Senior Lead Auditor with extensive project management experience, providing SME audit / project management advisory and execution for all manner of audit needs from Regulatory Consent Order remediation work through to Compliance, Liquidity Reporting, Credit, CASS and conduct and governance review across Wholesale Banking from Front Office to Back.
Specialist project management consultant - PARKER FITZGERALD [ HSBC ]
(2018-02 - 2018-05)
Specialist project management consultant at HSBC. Project focussed on conduct risk and high priority involving constant stakeholder engagement and liaison with appointed external management consultancy to verify that remedial actions address target concerns and mitigate highlighted risks.
Specialist Audit / Project Management professional - GRANT THORNTON [ Ford Credit Europe, Peel Hunt, Goldenberg Heymer, Societe Generale and SG Private Wealth ]
(2015-10 - 2017-10)
Specialist Audit / Project Management professional working assignments across clients including, most notably:
Senior Auditor - NATIONAL AUSTRALIA BANK
(2012-01 - 2015-08)
Participation and management of all Business Line audits.
Amongst businesses reviewed: FX, Rates, Institutional Banking including Corporate Lending, Credit Underwriting, Project Finance, Private Placements and Securities Underwriting in both London and NY branches. In depth analysis of Front Office Controls [ such as Market Risk ] a fixed feature of all reviews. General remit to review risk and controls, trade lifecycle, products, through relevant Audits, as necessary including annual Risk and Control Self Assessment.
Senior Auditor - BNP PARIBAS
(2008-05 - 2011-07)
Participation in all Business Line audits. Businesses reviewed include FX, Rates and Credit looking at controls across the organisation from Front Office to Back.
Audit Manager - MIZUHO INTERNATIONAL PLC
(2007-05 - 2008-01)
Responsible for Audit review of CAD II deliverables as part of Mizuho's ongoing project for FSA approval to use its own internal risk models. Work completed included review of the internal VaR methodology specific to individual asset classes. Also reviewed the risk management function specifically as regards sub-prime warehousing of cash and synthetic Mortgage Backed Securities looking at the full-range of risk controls from limit frameworks to methodology.
Internal Auditor - DRESDNER KLEINWORT WASSERSTEIN
(2004-03 - 2007-04)
Providing consultancy from a risk and product perspective on all new business initiatives and structured deals across all asset classes requiring bank-wide approval. Consideration through deal sheet and workflow review, Front Office presentation and ad hoc counsel. Integral to the subsequent review process of all high risk findings post audit both in terms of follow-up / close out and escalation all the way up to the Board. As such also responsible for reporting of.
Risk Analyst, Corporate Risk Management - NOMURA INTERNATIONAL PLC
(2001-07 - 2003-05)
Responsible for daily risk sign-off of all Equity [including some exotic] and Convertible Bond books. Strong working knowledge of CBs, CDSs and Bond Options. Exposure also to FX and FX Derivatives and Economic Derivatives. Fundamental acquisition of Market, Credit and Liquidity Risk and VaR knowledge from first principles.
Market Surveillance Analyst - THE LONDON METAL EXCHANGE LIMITED
(1999-06 - 2001-06)
Responsible for the daily monitoring of futures and options activity on the Exchange. Duties included the production of market depth reports, open interest analysis and trade analysis. Separately, participated in the review of LME Futures margining in partnership with the London Clearing House.
Lead up to the release of the first phase of the Exchanges electronic trading system, LME Select, provided an opportunity to be involved in system design and User set-up. In addition, contributed to various forms of systems integration testing including rigorous analysis of the interface between the Exchange's transparency (price) application and that of third party vendors. Enhanced understanding of commodity futures market mechanics.
MEng - Aeronautical Engineering - UNIVERSITY OF LONDON ( Imperial College ) (1993 - 1998)
A levels - BANCROFTS SCHOOL, Essex (1988 - 1993)
GCSEs - BANCROFTS SCHOOL, Essex (1991 - 1991)
