Personal Statement
- Adaptable Financial Services professional experienced working in Regulatory Change, Regulatory Liaison, technology and data roles across the financial sector.
- Proficient leader at HSBC who has facilitated global Regulatory Investigations under the direction of US and UK regulators.
- Proactive driver of automation who regularly uses technology to simplify and automate processes in the teams that he leads.
- Knowledgeable in Investment Banking instruments, products and services, gained through roles
across buy and sell side.
Skills
Technology
- Data Analytics (Python, R & SQL)
- Artificial Intelligence (Sklearn & TensorFlow)
- Technology Architecture
Subject Matter
- Banking and Financial Services
- Financial Crime Compliance
- Regulatory Compliance
Change
- Innovation & Design Thinking
- Change Leadership
- Programme Management
Recent Work Experience
HSBC - London - Regulatory Compliance
2019 - 2023
Global Head of Governance, Operations and Relationship Management -
Monitor Liaison Office
- Facilitated closure of multiple regulatory orders by leading a team of 45 people to facilitate reviews into Financial Crime Compliance, designing secure technology solutions to provide third parties with access to highly restricted data whilst complying with local laws and regulations.
- Reduced time to provide feedback on regulatory reporting obligation data quality issues to in-country teams from over 24 hours to less than 10 minutes, by designing, developing and deploying a data analytics toolkit coded in Python.
- Reduced incorrect allocation of queries to Compliance teams by over 50% and improved customer experience by building a natural language processing neural network using TensorFlow to automate the allocation of Regulatory Compliance and Financial Crime Compliance queries to correct Compliance teams.
- Significantly reduced risk of changes to data analytics Jupyter notebooks resulting in incorrect calculations to existing MI by migrating core business logic from Jupyter to standalone Python classes, along with accompanying unit tests.
- Improved turnaround time of data requests by 18% and reduced number of staff required to facilitate regulatory reviews by 20% by transforming departmental processes, including automating process steps; removing duplication; and converting bottleneck batch processes into just-in-time processes where possible.
- Improved consistency of departmental Management Information and removed 4 hours a day of manual processes from my department by automating MI processes using Python.
- Empowered Compliance staff to make improvements to their teams systems and processes by forming and leading the Regulatory Compliance Innovation Team, utilising Design Thinking techniques to foster innovation across Group Regulatory Compliance.
HSBC - London - Financial Crime Compliance
2015- 2019
EMEA Regional Lead - Monitor Liaison Office
- Ensured all regulatory reviews remained in scope and completed on time by leading a team to facilitate 14 Compliance Monitor country reviews, negotiating with the Monitor on scope and designing custom solutions to provide data for each country in order to comply with the differing country data privacy laws and regulations.
- Secured consent for reviews to take place from in-country regulators by ensuring that mechanisms to protect customer and staff data were robust and the location of the data held was in compliance with their requirements.
- Ensured successful outcome from reviews by advising in-country CEO’s and their executive teams on the preparation required for the review, including conducting preparatory analysis on current state of Financial Crime risks within their countries.
Deloitte- London & Dubai- Consulting
2010- 2015
Senior Manager - Capital Markets Group
- Increased go-to-market offerings of digital products across the Investment Banking sector by building and leading the Capital Markets team within Deloitte Digital,.
- Originated £3M - £4M in annual sales, significantly above targets for grade.
- Performed several leadership roles for Deloitte’s clients including Data Architect, Programme Manager and Regulatory Investigation Lead.
Historic Work Experience
- Barclays Capital| London | 2009 – 2010 - Vice President– Equity Operations Change
- Accenture | London | 2007 – 2009 - Manager – Capital Markets Group
- Ecommerce Consultancy Ltd | 2005 – 2008 – Founder
- IFDS | Essex | 2002 – 2007 – Technical Architect and Programmer
- FDM Group | Brighton | 1999 – 2002 - Consultant
Education
B.Sc Computer Science
University of East Anglia
1995 - 1998