MiFID for a major US Investment Bank
Consultant to Global Compliance Team applying project, change and regulatory expertise across the organization in respect major European regulatory change (MiFID/MiFIR) programme.
o Delivered a programme that remained on track throughout, was the first workstream to close successfully with full traceability from regulation to implemented solutions.
o With wider oversight advised on stress points in the broader programme and so kept senior management, in Europe and US, aware of possible aspects, such as key man risks, that would have derailed project
o Provided coaching and mentoring to the compliance team on the development and detail of complex regulation.
EMIR for major UK Investment Bank
Provided regulatory expertise to Investment Bank Operational Compliance team to review and enhance their regulatory framework; supporting change initiatives with the interpretation and articulation of complex requirements.
o Delivered a framework and categorisation matrix that was applied consistently across a number of regulatory solutions.
o Identified critical improvements to “business as usual” activities in relation to client categorisation.
o Coached existing staff on the interpretation of technical, regulatory requirements.
Regulatory Reporting for Global Investment Firm
Provided SME knowledge relating to European regulatory environments of EMIR and AIFMD
o Developed an operating model that addressed the shortcoming of an implemented solution and could meet evolving requirements.
o Delivered a detailed analysis of the enhanced regulatory requirements.
o Delivered a defined programme of work to in-house teams that would meet the new obligations.
Regulatory Change Programme for Global Investment Firm
Consultant/leader for a portfolio of Regulatory Change
o Created and led a programme that addressed a number of international regulatory changes that were impacting across the business.
o Managed a broad set of senior stakeholders and ensured that the programme met every regulatory deadline.
Other key engagements
o Delivered complex people and organisational change to implement change in working pracrices for new central services team supporting diverse client facing teams
o Advised and supported major corporate banks on best practice programme governance, outcome: supplying documented frameworks and template documents for immediate use;
o Conference content as speaker and panel member and chair on AIFMD and OTC Derivatives.
o Lectured on organisational design at Henley Management College