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Risk Control Partner

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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PROFILE:

Accomplished professional with deep expertise in Business Management, Operational Resilience, and Risk Management within Financial Services. Proven success in leading both project and line teams, resolving complex challenges, driving transformational change in processes and infrastructure. Highly self-motivated and resilient under pressure, consistently meeting tight deadlines. Adaptable and resourceful, able to assume multiple roles and deliver across diverse programs. Fosters constructive and forward-thinking stakeholder engagement, actively influencing strategic and regulatory decision-making within the 'Three Lines of Defense' framework.

SKILLS:

  • Control Oversight
  • Enterprise Risk Management
  • Business Continuity
  • Business Development
  • Operational Resilience
  • Incident Remediation
  • RCSA Assurance
  • Third Party Risk Management
  • Product Governance

TECHNICAL:

  • Trading Systems: Bloomberg, Calypso, HotSpot, MarketAxess, Murex, TradeWeb, Traiana
  • Risk & Governance: Archer GRC, PRiSM, RiskWatch, SAP (Business Objects), Summit
  • Reporting & Productivity: Bloomberg, IntelliMatch, Microsoft Office Suite, Reuters

CAREER HISTORY:

2017 - 2025

Banking

Risk Control Partner (Markets COO)

  • Trusted business adviser for Trading, Sales and Capital Markets. A catalyst for meaningful change, sharing best practices, enabling Markets to deliver on strategic and regulatory objectives.
  • Accountable for the Risks and Controls utilised by Markets are certified as ‘In-Control‘ and operating in accordance with recognised internal standards. Aligned preventive, detective and corrective controls with core business processes.
  • Overseeing Financial and Non-Financial risk management, with emphasis on Operational Resilience, Business Continuity Management and Business Impact Analysis. Ensuring adherence to timely reporting protocols for Operational Incidents and driving effective implementation of remediation actions
  • Providing key time critical and reporting metrics (KPIs/KRIs) in accordance with SMCR guidelines, improving the maturity of the Markets franchise, through GRC tooling.
  • Leading the design and implementation of relevant change initiatives driven by Regulatory, Audit and Compliance remediation activities. Communicating and highlighting progress for timely closure.
  • Identifying and evaluating emerging risks ensuring continued adherence to Internal and Regulatory Standards, proposing solutions to mitigate associated key risks.
  • Consistent ability to challenge new business initiatives, ensuring alignment with business strategy, cost and benefit efficiencies, with diverse business stakeholders.
  • Improving product governance through design, innovation, collaboration and simplification of ‘End-to-End’ business flows, in alignment with regulatory directives, MiFID, EMIR, DFA.
  • Leading global COO partners with the timely execution of Risk Control Self-Assessments. Embracing knowledge sharing, promoting business and technical awareness.
  • Principal liaison for Third-Party business inventories, Electronic Trading infrastructure, and Security Risk assessments, ensuring compliance with ISO 27001 standards.
  • Driving global Business Management initiatives, identifying opportunities to standardise, optimise and improve processes and reporting through automation.
  • Champion of good corporate governance. Maintaining Terms of Reference, documenting processes, maintaining audit trails and capturing data points.

2014 - 2017

Banking

Credit Risk Control Manager 2012 - 2013 (Contract)

  • Subject matter expert of Risk Management reporting, responsible for monitoring Trading Desk risks, using approved methodologies established by Group Risk Management.
  • Evaluated the materiality of trades with missing or incorrect exposures, performing root cause analysis of trade feeds. Documenting findings are clear, accurate and accessible for Risk Committee oversight.
  • Collaborated with Risk IT in the design and implementation of robust controls for bespoke transaction overrides and trade reconciliations, to ensure the position data is complete and comprehensive.
  • Accountable for the clearance of live trades executed by the Trading desk, acting as the final control before a trade has been executed.
  • Coordinated and maintained risk incident reporting and escalation procedures, ensuring timely and accurate reporting to Senior Management and Regulators.
  • Managed and executed UAT plans, liaising with developers of implementation fixes, with the emphasis in improving the integrity and accuracy of data within reporting systems.

2013 – 2014

Professional Services

Senior Business Risk Consultant (Contract)

  • Provided Audit assurance over the adequacy and operating effectiveness of key controls and framework reviews, covering: Investment Banks, Hedge Funds and Asset Managers.
  • Assessed Risk Management controls against risk appetite and risk registers. Identified control gaps and developing remediation plans in accordance with best practice.
  • Managed designated stakeholder relationships, identifying emerging risks and changes in evolving business strategies. Mapped Risk Scenarios to the relevant Control inventory.
  • Built and maintained strategic business relationships, providing updates and requirements on Operational Risk dependencies.

2011- 2012

Banking

Risk and Strategic Projects Audit Manager (Contract)

  • Delivery of Wholesale and Corporate Retail risk-based audits, covering Credit Risk, Market Risk, Model Validation, Operational Risk and Regulatory Risk.
  • Provided Audit service through the assessment of risks and evaluation of key controls, developing practical solutions in partnership with the business.
  • Produced impact analysis using road map data, to facilitate test case risk scenarios of Loss Data and Model Build Validation dependencies.
  • Ownership for the management of assignment progress to Audit Partners. Managed and tracked action plans to facilitate timely closure with the business.

2008 – 2011

Banking

Credit Risk Control Manager

  • Recruited to build relationships with C-level Partners following legacy issues.
  • Restored trust and forged effective and credible business partnerships within 6 months.
  • Managed 4 direct reports. Accountable for the production and data integrity of Credit Risk measurement reports.
  • Provided timely advice on Legal Agreements, Client On-Boarding dependencies, covering Account Opening and KYC.
  • Proven ability managing multiple projects with varied and time pressured deliverables.
  • Successful collaboration with developers, driving the prioritisation of change requests and timelines for resolution, adding credibility of the business function.
  • Ensured the quality, accuracy and timeliness of risk dashboards for Senior Management and Regulators.

EDUCATION & DEVELOPMENT:

  • 2 ‘A’ Levels
  • 6 ‘O’ Levels
  • 1LOD Operational Risk Champion
  • AFB - Enterprise Risk Management
  • AFB - Best Practice and Stakeholder Management
  • ORX - Operational Loss Round Table Forums
  • London Futures and Options Proficiency Certificate

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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