The Chartered Institute for Securities & Investment (The CISI)

Speak the Speeck UK

Entrepreneur | Product Developer | Project Manager

PieCrust.uk

Chief Executive Officer

IndyWise

Business Mentor

I specialise in leading Change & Transformation assignments within the Financial Services and Technology sector.

My area of expertise:
> Productivity Methodologies
> Regulatory Compliance
> Enterprise Risk Management
> Complex Project Management
> Records & Information Management
> Business Resilience & Continuity Management
> Global People Management
> Budget & Expense Management
> Vendor Management
> End-to-End Solution Design, Prototyping, Validation, Implementation, Analysis and Assurance Testing

Clients can leverage my expertise across any business function to successfully deliver critical assignments on time and within budget.

W&I Co. Ltd

Independent Contractor

A registered professional speaker, specialising in the adoption of disruptive technologies within the Financial Services industry.

Champions UK plc

Professional Speaker

Octopus MoneyCoach

Trainee Financial Coach

BUSINESS CHANGE & TRANSFORMATION - HSBC $1.9 billion Deferred Prosecution Agreement

Key Achievements:
●	Designed, Developed and Implemented a Group-wide arbitration and tracking solution to identify and mitigate against conflict of interests arising for managing employee compliance disclosures and achieving the remediation of 3 significant control deficiencies identified by regulators.

●	Recruited, Trained and Directed a team of specialist on and offshore resource to provide a new managed employee compliance service to 60+ countries preventing further control weaknesses.

●	Achieved the remediation of approximately 25,000 employee compliance records within 3 months in order to provide accurate reporting to senior executives.

●	Led development of comprehensive Process Maps, Standard Operating Procedures, employee guidance material to supplement Group policies and procedures. 

Key Responsibilities:
·         Led delivery of the regulatory compliance programme within Group HR, to track and maintain a record of the Group's global book of employees' external business interests, outside activities and conflicts of interest. This solution encompassed all employees of HSBC Group, C-Suite to junior entry level.

·         Subject matter expert for regulatory compliance related matters for HR, developing essential networks and maintaining strong relationships with internal functional counterparts and key internal and external stakeholders across the Group.

·         Led the shaping and communication of Group Functional policies and procedures relating conflicts of interest arising, and thereafter it's subsequent implementation into policy standards.
Oversaw and coordinated regulatory compliance related obligations, which included regulatory and Group ExCo reporting.

·         Led oversight and resolution of all risk and control matters (including MSIIs and Audit Findings) relating to delivery of said solution.

HSBC Group Management Services Limited

Group HR Risk Manager

BUSINESS DEVELOPMENT

Key Achievements:
●	Technical Advisor for the GBA and SME DLT members at All-Party Parliamentary Group on Blockchain (APPG Blockchain) and Northern DLT Advisory & Action Group, advising on UK Government policy decisions on the application of Distributed Ledger Technologies (‘DLT’) across all industries of the UK, and in complement to other emerging technologies such as (but not limited to) Artificial Intelligence & Internet of Things.
●	Forged working relationship between the GBA & HMRC on the application of Distributed Ledger Technologies.


Description:
The Government Blockchain Association (GBA) brings together governments (at all levels) with industry, in order to create helpful dialog that will facilitate the efficient, ethical and rational adoption of blockchain technology so that this powerful innovation increases the quality of life for citizens across the world.

We are committed to helping government and public sector people & organisations understand, implement and benefit from blockchain related technologies and capabilities. We do this by making blockchain related resources available to government and public sector consumers. 

As vice president of the London Chapter, I co-organised themed events and hackathons on concrete applications of Distributed Ledger Technology, where technologists and leaders in their field are invited to share their insight and develop viable solutions to real world challenges.

GBA London

Vice President - GBA London

BUSINESS DEVELOPMENT

Key Achievements:
●	Co-ordinated recruitment and direction of Thematic Leads to identify, validate and secure strategic partnerships with organisations working in or in support of the blockchain industry.
●	Co-ordinated themed events and hackathons on concrete applications of Distributed Ledger Technology, where technologists and leaders in their field are invited to share their insight and develop viable solutions to real world challenges.

Government Blockchain Association

European Strategic Partnerships (Financial Regulation Compliance | Legislation & Legal)

PRODUCT DEVELOPMENT

Key Achievements:
●	Runner up Barclays Bank PLC 'Demo Day' - April 2018
●	Barclays Bank PLC Employee's Choice Award - April 2018
●	Awarded a funding grant by Barclays Bank PLC - June 2018
●	Proposition inducted into Barclays Retail Banking.

A member of The Intrapreneur Lab accelerator programme (2017 Cohort), focusing on Social Innovation, and was Project Lead in the development of a banking proposition to support the financially excluded/unbanked.

The Intrapreneur Lab

Intrapreneur (2017 Cohort)

Contributing member of a 5 person panel discussing 'The Role of AI in the Future of the Financial Industry'

AI Tech World Summit

Guest Speaker

Facilitated round-table discussion with other interested parties across the FinTech industry, focusing on 'The Role of ICOs vs Venture Funding'

Blockchain Summit

(***See full description of responsibilities within attached URL***)

Key Achievements:
●	Designed and developed customised data reporting (macro-based) tool for accurate and impactful ExCo MI.
●	Proactive self-identification and collaborative resolution of regulatory sensitive Treasury Risk related issue, safeguarding the Bank from regulatory penalty.
●	Successfully led and delivered a department-wide assessment and regulatory sensitive reporting project, ensuring the Bank’s compliance with regulatory requirements.
●	As a recognised Subject Matter Expert (SME) I provided close training, supervision and mentoring to peers, internal and external key stakeholders.

Key Responsibilities:

Governance:
●	Oversaw the development and ongoing maintenance of the Risk & Control Library/Inventory for my assigned area.
●	Led roll out and embedding of the Enterprise Risk Management Frameworks across my assigned area. 
●	Strategically implemented and coordinated the embedding of the CB Risk & Control framework across my assigned area, which incorporates Treasury and Capital, Conduct, Legal & Operational Principle Risks.
●	Through proactive management and forward thinking led the development and maintenance of the Global Assurance frameworks across my assigned area.

Oversight:
●	Drove completion of Material Risks & Controls Self-Assessments (MRCSAs), which included completion of the L3K Material Risk Assessments and L3B/4 Control Assessments to inform the Inherent and Residual Assessments of the business’s control environment.
●	Developed and maintained Risks & Controls Self-Assessments (RCSAs), tracking RCSA open actions to ensure closure before due date and provided guidance and cross-function coordination.
●	Led completion of annual Customer Impact Product Reviews (CIPRs). 
●	Led various ad-hoc and strategic work streams/assigned projects to continually review and enhance, where required, our control environment.

Barclays Corporate Banking

Corporate Banking Risk, Oversight & Control Partner - Trade and Working Capital

As stated above in CBROC TWC role, but also covering Debt products.

Corporate Banking Oversight & Control Partner - Credit Products

A Regional Rigour Manager for the CB London & International Origination Teams, supporting fifteen large & mid-corporate industry leadership teams with driving good business governance and ensuring their Relationship/Sales Directors (and their underlying support staff) adhere to the Bank’s policies and procedures, by conducting conformance testing throughout the year and thereafter providing guidance/training to staff if either specific issues or overall trends are identified.

Primary Responsibilities:

• Develop and maintain excellent relationships at senior and peer level in order to drive Risk Agenda.
• Provide support to ensure the region is compliant with Barclays Group & PCB Policy requirements, and act as an SME for new policies whilst embedding.
• Promote efficient and consistent application of processes alongside a culture of continuous improvement.
• Proactively provide 1:1 and team guidance/training/coaching to ensure continued adherence to rigour and control standards.
• Perform monthly conformance testing across varying activity streams in order to ensure adherence to policy and procedures and thereafter perform detailed analysis of rigour testing results, using experience to identify trends and opportunities for improvement.
• Act as a point of contact for all technical queries and provide general support to teams.
• Provide feedback and reporting/scorecard to senior leadership teams on analysis of rigour testing outcome, making recommendations to improve future results and the benefits of doing so.

Barclays Personal & Corporate Banking

Corporate Banking Oversight & Control Regional Rigour Manager-London & International Origination

- Support the development and maintenance of an effective Global Governance Framework across the Financial Institutions, Global Corporates & Non-Bank Financial Institutions Origination Businesses.
- Operation of the monthly Governance Risk and Control Meetings (GRC) incorporating operations in the UK, Americas, Asia Pacific, Europe, Middle East and Africa.
- Support the co-ordination and production process of monthly Key Performance Indicators (KPIs) & Key Risk Indicators (KRIs) ,which thereafter for part of our Key Risk Assessment (KRA) returns for the UK and International Businesses - providing review and challenge.
- Support the identification of new Control issues through challenge and input.
- Support the co-ordination of the monthly and quarterly Control Issue returns for the UK and international businesses, providing review and challenge.
- To work with the FI, GC & NBFI Leadership Teams to recommend the implementation of appropriate corrective action.
- Maintain the Key Governance Committee structure and act as a point of contact to the Business when creating new Committees and Terms of Reference.
- Maintain the GR&C Intranet SharePoint to deliver Governance MI to respective Business COOs and functional Partners alike.
- Act as a primary point of contact, and provide practical advice, guidance and risk mitigation support to the FI, GC & NBFI Businesses.
- To undertake the completion of a continuous programme of monitoring activities, in line with the agreed GR&C Monitoring Plan as directed by Line Management, in order to assess the level of compliance across each Business.
- Provide to the Head of Monitoring, on a timely basis, quality written reports for senior management identifying key findings from monitoring reviews and remedial actions agreed with management.
- To provide support to the FI, GC & NBFI Leadership Teams to meet requirements in a way that enhances business value.

FI | GC | NBFI Origination Governance, Risk & Control Analyst

During my time as an RSM, on the Financial Institutions (FI) Team, I also worked for several months on secondment within the Network Referrals Unit (of the International Network Management Team) primarily focusing on supporting both internal Strategic Business Units and our FI clients with Corporate Referrals, Bi-lateral Agreements etc.

Primary responsibilities:

- To provide a seamless service to the Corporate Bank and Retail Business Banking, both in the UK and Global locations, to support clients expansion outward into territories in which Barclays has no capability to provide local transactional services. 
- To provide an enhanced service supporting our corporate franchise in all Barclays Corporate presence countries
- Responsible for receiving ‘inward referrals’ from our global FI clients and placing them appropriately into the Barclays Network. 
- Delivery of MI into the FI MBR covering all inbound/outbound NRU referral volumes together with relevant supporting documentation.

Network Referrals Unit (NRU) Analyst

An RSM on the Corporate Banking Financial Institutions (FI) Team for three years. During my time on the team I worked extensively on the Barclays Group Portfolio (covering subsidiaries and divisions of the Group, based both domestically and internationally) as well as the Europe Team Portfolio (covering a large portion of the FI names in Central, Eastern/Southern Europe, the CIS and certain European/CIS & South African names based in London). My role varied from supporting clients on complex transactional or product-related queries, to supporting my Relationship Director with tracking income, developing new sales leads, maintaining our Client Relationship Management (CRM) Tool and completing annual reviews etc.

Primary Responsibilities:

- An escalation point for complex queries or of a highly technical nature - in order to actively manage the route-cause analysis & swift resolution of those incidents, whilst always ensuring identified Risks are highlighted to Senior Management, Product and Governance & Control.
- Eliminate inefficiencies in operational tasks in order to minimise risk and maximise business returns. 
- Proactively engage with clients to ensure we continually adapt to their business needs and deliver the rights solutions for both them and the Bank.
- Identify new product solutions for clients and actively manage the end-to-end process from Proposal to Implementation, 
- Collate data from several internal and external sources on existing and target clients, for input into presentations / client plans / reports etc.
- Drive strategic initiatives to track existing and identify potentially new income sources.
- A Records Management Champion for the SBU, identifying deficiencies / defining remedial strategies and managing the successful implementation thereof – thus ensuring compliance to Group and Regulatory Policy.

Client Experience Relationship Support Manager

Prior to joining the Financial Institutions (FI) Team, as an Relationship Support Manager (RSM), I worked as a Corporate Service Executive (CSE) on Non-Bank Financial Institutions (NBFI) Team for two and half years, covering a mixture of Insurance Providers, Broker Dealers and Fund Managers.

Primary Responsibilities:

- As member of a Corporate Team, developing and maintaining relationships with a portfolio of Complex and Large Corporate Clients.
- Coordinating introduction to and from other areas of the Barclays Group, where appropriate, and monitor outcome.
- Undertaking regular Service Reviews/Service Improvements and make recommendations to the Relationship Team.
- Acting as a Product Champion, liaising with representatives from other group companies to provide expertise in their area.
- Working in partnership with Sales Team, the RCU and other specialist areas to ensure that we provide a joined up service to our customers at all times.
- Preparation and implementation of strategic campaigns.
- Records Management Champion for the NBFI Team.

Wes C.