If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.

00044059

PROFILE

Accomplished Director Consultant with over 20 years of front-to-back experience in financial services, including investment banking and consultancy, specialising in Capital Markets, Prime Services and Securities Finance Trading strategic transformation initiatives, particularly securities lending and repos.

Experienced in driving Front Office and Operations change and transformation initiatives that deliver measurable results, maximise efficiency and minimise costs while maintaining robust risk and control standards. Has worked closely with trading desks to support business objectives, future trading strategies and prioritisation of global workstreams and backlogs. Brings a strategic approach to complex financial environments, helping organisations navigate market challenges and identify growth opportunities.

Proven track record of leading strategic initiatives, driving organisational change, analysing market trends and implementing effective solutions to enhance operational efficiency, profitability and resource optimisation. Committed to guiding organisations through transformation, streamlining processes and promoting sustainable business growth through effective stakeholder engagement and client relationships.

CAREER HISTORY

November 2025 – August 2026
Career Break – Travelling

January 2024 – October 2025
Management Consultancy
Director Consultant

Engaged on-site at a leading international investment bank to support a global securities finance transformation programme, focusing on the GlobalOne-to-Gloss Single Stock Ledger project. Responsibilities included requirements scoping across entities, reviewing current and target front-to-back trade lifecycle processes, and coordinating stakeholders across Front Office, Operations, Settlements, Product Control, Finance, Risk and Technology.

Supported a multi-million CAD single stock ledger initiative designed to improve operational efficiency and scalability across securities financing transactions, equities and fixed income operations, including collateral management, Treasury, Product Control and Finance. The programme aimed to replace manual, risk-prone processes with accurate, real-time liquidity and position management through a consolidated ledger.

• Successfully led the implementation of a Gloss Single Stock Ledger system, improving accuracy and transparency in securities transactions between GlobalOne and Gloss and establishing a single reference system for position management and liquidity.
• Supported inventory valuation and utilisation across Equity Finance, Equities, Fixed Income/Bonds, Securities Lending and Repos, helping minimise settlement fails.
• Liaised with business, control and support stakeholders to prioritise the global book of work and ensure functional requirements were met and technology builds were fit for purpose.
• Gathered and documented requirements, assessing current-state and future-state processes and working with Architecture teams to establish suitable workflows and understand impacts.
• Assisted in defining User Acceptance Testing cases across Settlements, Collateral, Front Office, Product Control, Finance, Corporate Actions and Treasury.
• Streamlined securities lending and repo processes within tight deadlines, improving collateral management across cash, bonds and equities, alongside Product Control measures and lending capabilities.
• Facilitated cross-departmental collaboration, encouraging innovation and continuous improvement.
• Delivered training programmes to improve team capability and project execution.
• Ensured adherence to regulatory standards and mitigated risks associated with securities transactions.

April 2022 – May 2023
Investment Banking
Business Analyst – Front-to-Back Capital Markets Securities Strategy and Change Transformation

Drove strategic initiatives and change across Capital Markets, focusing on improving trading workflows and optimising processes from pre-settlement through to post-settlement. Analysed business processes, identified inefficiencies, developed improvement recommendations and coordinated cross-functional teams to support successful delivery. Managed stakeholder engagement between technical teams and business units, ensuring alignment with organisational objectives.

• Successfully led a project to streamline securities processing, reducing operational costs across stock lending, repos and cash equities.
• Developed a comprehensive change management framework adopted across multiple departments.
• Facilitated stakeholder workshops to identify and prioritise business needs.
• Delivered actionable insights through data analysis.
• Managed cross-functional teams to support timely, on-budget project delivery.
• Improved communication between technical and non-technical teams, enhancing project outcomes.

April 2021 – April 2022
Investment Banking
Global Securities Inventory Optimisation Manager – Securities Lending, Repos and Cash Equities

Oversaw and improved securities inventory management across securities borrowing and lending (SBL), repos and cash equities. Focused on maximising asset utilisation and profitability, monitoring settlement fails and potential CSDR penalties, and supporting SFTR compliance. Collaborated with trading, risk management and operations teams to integrate inventory strategies, adapt to market and regulatory changes, and improve data analytics for decision-making.

• Increased asset utilisation through strategic optimisation initiatives.
• Led a cross-functional team in integrating data analytics tools to improve decision-making efficiency.
• Developed an inventory management framework that improved operational efficiency.
• Implemented risk management strategies to reduce exposure to market volatility.
• Strengthened stakeholder relationships, improving cross-departmental collaboration and communication.
• Maintained compliance with evolving regulatory requirements.

March 2020 – April 2021
Investment Banking
Securities Lending and Repos Middle Office / Front Office Trade Support

Worked alongside the trading desk to manage and support the full lifecycle of securities lending and repo transactions. Responsibilities included correcting trade bookings arising from trader errors or counterparty mismatches, producing flash P&L and KPI/MI reports, and overseeing trade capture, reconciliation and settlement. Collaborated with traders, Operations and Technology to resolve discrepancies, improve workflows and maintain regulatory compliance.

• Streamlined trade capture processes, reducing errors.
• Developed and implemented a reconciliation framework to improve efficiency.
• Collaborated with IT to automate manual processes.
• Played a key role in upgrading the trade support system, improving functionality and user experience.
• Received recognition from senior management for exceptional accuracy in trade reporting.
• Ensured compliance with regulatory requirements through meticulous attention to detail.

January 2010 – July 2019
International Banking
Middle Office – Securities Lending / Repos (Global Securities Finance)

Oversaw operational processes supporting securities lending and repo transactions, coordinating with Front Office traders, managing collateral and ensuring compliance with regulatory requirements. Responsibilities included trade reconciliation, discrepancy resolution, stakeholder reporting, risk exposure monitoring, operational optimisation and counterparty relationship management. Worked closely with IT on system enhancements and business growth initiatives.

• Streamlined trade reconciliation processes, reducing discrepancies.
• Implemented a collateral management system to enhance operational efficiency.
• Strengthened relationships with key counterparties.
• Contributed to a project that improved reporting accuracy and timeliness.
• Developed and delivered training for new team members, improving productivity.
• Collaborated with IT to deploy system enhancements that reduced processing time.

October 2007 – December 2009
International Banking
Middle Office – Equity Derivatives Operations, Equities and Contracts for Difference (CFDs)

Managed the lifecycle of equity derivative transactions, including trade capture, confirmation and settlement. Collaborated with traders, Risk Management and Back Office teams to resolve discrepancies and manage operational risks. Supported reconciliation of trade positions and cash flows, maintained compliance with regulatory standards and internal policies, and contributed to continuous improvements in systems and workflows.

• Managed and reconciled high volumes of equity derivative transactions.
• Implemented process improvements that reduced trade discrepancies.
• Contributed to the development of a reconciliation tool that improved efficiency.
• Played a key role in automating manual processes.
• Maintained strong stakeholder relationships, improving communication and operational efficiency.
• Consistently met regulatory and compliance standards, contributing to a 100% audit success rate.

December 2004 – September 2007
Financial Trading Services
Middle Office Trade Support – FX, Options, CFDs and Spread Betting

Supported the processing and settlement of foreign exchange, options, contracts for difference and spread-betting trades. Managed trade confirmations, resolved discrepancies and liaised with Front Office traders, Back Office Operations and external counterparties to maintain accurate trade bookings. Monitored trade lifecycle events, supported risk and P&L reporting, and contributed to process improvements, system development and regulatory reporting.

• Reduced trade discrepancies through improved reconciliation processes.
• Streamlined trade confirmation procedures.
• Contributed to the development of a new trade booking system, reducing booking errors.
• Enhanced risk management processes, helping decrease operational risk incidents.
• Supported the transition to new regulatory reporting requirements, ensuring compliance.
• Received recognition for effective collaboration with Front Office and Back Office teams.

April 2004 – November 2004
Financial Trading Services
Back Office Client Service Support – FX, CFDs and Spread Betting

Provided client service and operational support within financial trading services. Managed client accounts, responded to queries relating to foreign exchange, contracts for difference and spread betting, and ensured accurate and timely transaction processing. Worked with the trading desk to resolve discrepancies, explained trading platforms and market conditions to clients, maintained accurate records and supported regulatory compliance and communication across departments.

EDUCATION

September 2002 – September 2003: University
MSc Business Information Technology – 2:1 Commendation

September 1999 – August 2002: University
BSc (Hons) Business Studies – 2:1

SKILLS

• Front Office and Middle Office Trade Support, including trade rebooking, P&L reporting, break resolution, trade settlement and fails reduction.
• Strategic transformation, process streamlining and automation initiatives.
• Full trade lifecycle and front-to-back processing.
• Products: Securities Lending and Repos, Fixed Income/Bonds, Equity Derivatives, Collateral and Funding.
• Agile project methodology.
• User Acceptance Testing (UAT) and System Integration Testing (SIT).
• Business documentation, requirements gathering and translating business needs into technology builds.
• Stock loan buy/sell-backs, repos, fee trades and collateral management.
• Reconciliations, including FOBO, depot and Nostro break resolution, Contract Compare (Pirum/EquiLend), SBL fees and rebates, and repo billing.
• Migration activities, including systems, offshoring, custodian transfers, and the unwinding of legacy systems and balances across cash and stock.

TECHNICAL

• Microsoft Office
• Trading and Securities Finance Systems: GlobalOne, LoanOne Anvil, Broadridge Gloss, NTPA.
• Securities Finance and Reconciliation Platforms: Pirum, EquiLend, Insight, Intellimatch.
• Market Data and Trading Systems: Bloomberg, Summit, Sphere (in-house CFD and swaps processing system).
• Project and Business Applications: Confluence, Jira, PeopleSoft.
• Compliance and Screening: Fircosoft AML sanctions screening.
• Settlement and Custodian Portals: Cascade Creation, Euroclear EasyWay, Clearstream and WebMax for agent securities processing, clearing and stock records.

References Available Upon Request

If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.
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