Designing and implementing a Conduct and Culture Enhancement programme across all activities.
Building Conduct Risk Framework and implementing key elements: Conduct Risk Self Assessment, Conduct MI, Cultural assessments, reinforcing SMCR framework and enhancing training and competency approach with behavioural competencies.
Coaching senior management, desk heads and risk functions to embed the outcome-centric and aligned to current FCA Conduct Risk and Culture agenda.
A new forward-looking business case and operational model for the CCA, incorporating latest behavioural theory aligned with Conduct Risk principles, in partnership with Cambridge University Judge Business School
Redefined goals aligned with values, risk objectives and strategic goals.
Modelled investment case against wider cost pressures and regulatory imperatives; created innovative value model to link real financial returns from investment.
Designed new operating model with key stakeholders, success measures to bring commercial rigour to decision making.
Implement key recommendations, robust Governance function and reshape operating team to meet new objectives.
Bespoke competency framework to define enhanced Compliance behavioural and technical skills, enable assessment and build development curriculum, to enhance behavioural and technical skills.
Developed and delivered plan for design, build and operation of Compliance function for new commercial and retail bank to be divested following EU anti-competition decision, with focus on a ethical culture.
Developed Target Operating Model and implementation plan for the new bank, including determining appropriate resource, structure and Compliance operating framework.
Wrote Compliance Plan, policies, procedures, monitoring, testing and control processes. Analysed and advised on regulatory requirements for Interest Rate Swap, and ForEx product offerings.
Built and managed team responsible for design and delivery of regulatory requirements for banking licence authorisation, compliance framework and supporting infrastructure.
Rebuilt new Corporate Banking compliance function integrated with Corporate and Investment Banking (CIB) Compliance, aligned to new business strategy and tuned to existing and emerging regulatory risk.
Identified priorities to strengthen impact of compliance function and culture, risk understanding and approach of the CEO, Business and Functional heads from the top down.
Re-engineered Corporate Banking Compliance team to become an independent, respected function, aligned with Group and Investment Banking Compliance, leveraging shared central Compliance services.
Advised Corporate Banking CEO on developing and implementing new Conduct Risk framework
Redesigned and implemented core training programme to reflect Conduct regime and Bank Values to underpin change in culture.
Developed intensive five-day Compliance programme incorporating case studies and participant presentation for all new staff in Investment Banking team to provide a thorough understanding of:
Regulatory framework, key focus of the regulators and role of Compliance: SMCR, Structural Reform;
Financial Crime, Conflicts of Interest, Conduct, Conduct Risk and Behavioural Economics;
Science of decision making, incentive and bias; tools to drive sustainably better conduct and culture