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Neil Brooks
Wholesale Banking Compliance Director at ING
Professional Background
Neil Brooks is a highly experienced professional in the fields of risk and compliance management, with a strong record of leading transformation programmes dedicated to enhancing control frameworks in the banking sector. As the Wholesale Banking Compliance Director at ING, Neil has demonstrated his ability to navigate complex regulatory landscapes while maintaining compliance and supporting the run-the-bank functions of the organization. His role requires not only a thorough understanding of regulatory expectations but also the agility to adapt to ever-evolving compliance standards and requirements.
With a career built on solid foundations of risk management, Neil has successfully dealt with institutions that face intense regulatory scrutiny. His extensive experience includes collaboration with regulatory bodies in both the UK and US, where he has communicated and negotiated effectively with officials to ensure alignment with global regulatory remediation programmes. Neil's expertise encompasses a wide range of compliance functions, including advising on critical regulatory inquiries, setting internal compliance policies, and orchestrating substantial change programmes that embed a culture of compliance within the organization.
Education and Achievements
Neil’s academic background is rooted in a BA in Modern History with Economics from The University of Manchester. This multifaceted education has equipped him with the analytical skills necessary to interpret regulatory frameworks and understand the historical context of the financial sector's evolution. His educational achievements complement his professional pursuits and underscore his commitment to continuous learning and development.
In his current position at ING, Neil has been pivotal in steering significant compliance initiatives that have improved the overall governance and risk management posture of the bank's wholesale banking sector. His leadership in these areas has not only facilitated compliance with local and international regulations but has also fostered a proactive risk management culture among his teams. This culture emphasizes diligence and integrity, vital qualities in the banking industry where stakeholder trust is paramount.
Neil's collaborative approach allows him to work effectively with various stakeholders across multiple departments and organizations, ensuring a harmonious approach to compliance that minimizes friction and enhances operational efficiency. His career journey illustrates his commitment to fostering a robust compliance environment while maintaining operational efficacy and navigating the complexities of regulatory frameworks.
Achievements
Notable achievements throughout Neil's career include successfully leading high-impact change programmes that resulted in improved compliance processes and frameworks. His expertise in risk management has been instrumental in reforming compliance strategy in response to regulatory changes, significantly mitigating potential compliance risks for his organization. Neil's ability to establish clear communication channels with regulatory bodies has been key in managing compliance reviews and audits, ensuring that the organization meets and exceeds the expectations set forth by regulators.
Additionally, Neil's work in liaising with appointed parties by the regulators has greatly contributed to the successful execution of global remediation strategies. These initiatives have demonstrated his adept capacity for managing complex tasks and coordinating multiple streams of compliance activities, all while driving the organization's strategic objectives forward. His contributions to the field have garnered recognition among peers and regulatory authorities alike, solidifying his reputation as a respected leader in risk and compliance management.
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