If you are interested in this candidate, please contact Simon Blau via email sblau@cerfinancial.co.uk or call on 0207 626 6065.
00330214
PROFILE:
Strategic and results-driven senior risk leader with deep expertise in first and second line of defence, regulatory compliance, and enterprise risk frameworks across global financial institutions. Proven track record in leading cross-functional teams, driving RCSA programs, conducting independent reviews, and delivering actionable insights through root cause analysis and process optimisation. Skilled in Board-level reporting, change management, and managing complex, multi-stream initiatives. Trusted advisor to senior leadership, known for clear communication, stakeholder engagement, and building high-performing teams that elevate risk culture and operational resilience
SKILLS:
- Operational Risk Framework Design
- Regulatory Compliance & Audit Readiness
- Risk Reporting & Executive Dashboards.
- Risk & Control Self-Assessment
- Regulatory Compliance – SOX.
- Key Risk Indicators & Metrics
- Governance Committee Leadership.
- Cross Functional Collaboration.
- Incident & Issue Management
TECHNICAL:
- Microsoft Office Suite (Outlook, Word, Excel, PowerPoint, Teams) | SharePoint | Confluence | Power BI | Tableau | M365 Co-Pilot | ChatGPT | Slido/Concur/Zoom
KEY ACCOMPLISHMENTS:
- Innovative Reporting: Created a new streamlined monthly Board submission framework, later adopted bank-wide by Credit Suisse, enhancing reporting accuracy and efficiency.
- Pioneered use of Microsoft CoPilot to streamline operational risk reviews and drive data-informed documentation workflows; accelerating outputs and freeing up time from lower-priority activities.
- Successful Integration: Played a pivotal role in the seamless assimilation of Credit Suisse's operational risk landscape into UBS's
- architecture during the merger, supporting transition of 1,000+ employees.
- Risk Culture Enhancement: Spearheaded targeted training initiatives, including creating the ‘Risk Radio’ forum, which improved risk management culture.
- RCSAs Leadership: Supported global Risk Control Self-Assessments (RCSAs) for over a decade, leveraging data to achieve positive outcomes and identifying sustainable improvements.
- Organisational Culture Award: Recipient of Credit Suisse’s Culture Carrier Award, recognised for exemplary leadership and driving
- a high-performance, values-led workplace culture.
- Crisis & Event Leadership: Spearheaded crisis response strategies during COVID-19, and geopolitical sanctions, ensuring risk mitigation strategies were implemented and business continuity preserved.
- Wellbeing Network Launch: Co-founded Credit Suisse Wellbeing & Care Network in the UK, driving mental health advocacy thought expertly designed events to educate, engage and inspire.
CAREER HISTORY:
January 2024 – Present
Banking
Operational Risk Integration Manager
Led strategic alignment of operational risk frameworks post-merger, embedding new governance protocols across UBS systems and controls. Collaborated with executive leadership to institutionalise governance standards, ensuring consistency, compliance, and accelerated risk control adoption.
- Executed the seamless integration of Credit Suisse’s Non-Core & Legacy (NCL) operational risk functions into UBS infrastructure, streamlining processes and elevating control performance.
- Delivered board-level insights by transforming complex risk data into strategic narratives, enabling informed decision- making and priority alignment at the executive level.
- Challenged and refined KRIs and KPIs to drive sharper risk visibility, enabling proactive risk management and continuous control improvement.
- Chaired senior risk and control forums, shaping strategic agendas, accelerating remediation efforts, and ensuring timely resolution of emerging risks.
- Championed enterprise-wide risk culture initiatives, including recognition and award programs, to embed risk awareness and boost employee engagement.
- Led quarterly RCSA cycles across diverse business lines, surfacing systemic risks and embedding sustainable, business- aligned control solutions.
- Directed regulatory and audit readiness efforts, overseeing issue tracking, evidence compilation, and executive-level reporting to ensure compliance and transparency.
July 2011 – January 2024
Banking
Senior Operational Risk Manager
Directed global operational risk governance, embedding frameworks across four regions, driving consistent control execution across functions. Steered strategic responses to crisis events and regulatory scrutiny, while partnering with senior stakeholders to embed robust risk frameworks, elevate control standards, and cultivate a proactive, high-impact risk culture.
- Mobilised governance forums at pace in response to global disruptions (COVID-19, Russian sanctions, market volatility), safeguarding operational continuity and accelerating risk mitigation execution.
- Orchestrated cross-functional alignment during regulatory inspections and external audits, ensuring full compliance and audit-readiness across business units.
- Served as a strategic risk advisor in enterprise forums, shaping risk priorities, streamlining decision-making, and embedding alignment with firm-wide objectives.
- Collaborated with Enterprise Risk and Compliance to proactively track and interpret KRIs/KPIs, enabling early risk detection and timely escalation to executive leadership.
- Directed comprehensive risk reviews, uncovering non-compliance exposures and driving the implementation of sustainable, business-aligned mitigation strategies.
- Delivered high-impact dashboards and reporting packs to executive committees and regulators, enhancing transparency and enabling data-led decision-making.
- Designed and launched enterprise-wide operational risk training, including the “Risk Radio” forum and tailored learning programs, embedding best practices and strengthening risk culture.
September 2009 – July 2011
Banking
Operational Risk Manager
Designed and implemented a robust operational risk management framework, partnering with senior management to embed risk governance, enhance control maturity, and ensure regulatory compliance. Played a pivotal role in strengthening risk culture and enabling informed decision-making across business unit.
- Engineered and embedded a firm-wide operational risk framework, aligning risk governance with regulatory expectations and business objectives.
- Eliminated recurring critical issues by leading root cause investigations and driving targeted control enhancements across high-impact business areas.
- Created and institutionalised a “Health Check” model to evaluate control maturity and audit readiness, boosting assurance capabilities.
- Delivered independent challenge to first-line teams, surfacing control gaps and influencing improvements in risk metrics and process design.
- Spearheaded the development of executive-ready dashboards and risk reports, enhancing visibility for governance forums and regulatory reviews.
- Centralised risk documentation through the creation of a digital risk library, streamlining access to procedures, templates, and reporting tools.
- Transformed raw operational data (losses, KPIs, incidents) into strategic insights, enabling proactive risk decisions and senior-level reporting.
- Maintained and evolved risk dashboards and tracking systems, ensuring real-time updates and transparency for senior leadership.
- Partnered with business and risk teams to align operational practices with internal policies and industry benchmarks, strengthening control integrity.
- Acted as a key conduit between business units and risk functions, ensuring seamless communication and rapid escalation of emerging risks
December 2003 – September 2009
Banking
Operational Risk Analyst
May 1998 – December 2003
Banking
Derivatives Operations
November 1994 – May 1998
Banking
Derivatives & Nostro Account Reconciliations
EDUCATION:
- A Levels (English, Economics & General Studies) and International Baccalaureate in French, Anglo European School, Essex, UK
LICENSES & CERTIFICATIONS:
- Certification in Operational Risk Management Framework Strategies | Institute of Finance - 2023
- Mental Health First Aider, Mental Health First Aid, 2016
References Available Upon Request
If you are interested in this candidate, please contact Simon Blau via email sblau@cerfinancial.co.uk or call on 0207 626 6065.
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