Program and Project Director for a Global Compliance Program

Performed the role of Program & Project Director for a Global Compliance Program to address Dodd-Frank Title VII, and alignment to Basel III, G20 and MiFid requirements across an Australian Bank’s OTC Derivatives business lines in multiple legal entities covering business areas of Treasury, Debt Capital Markets, FX, Energy and Commodities. The remit was across all international financial centres (i.e. Australia, NZ, London, Singapore, and NY).

The program involved product systems of Calypso, Murex, DCPK, Market Wire, LMIG (Lucsan Capital) plus further in-house systems for product trade capture, credit and market risk, collateral, operations, general ledger, reporting systems, static data, change management and enterprise data warehouse components.

Role required programme requirements and direction from scratch. Remit covered initial business case formulation and mandate, PMO set up, resource on boarding and recruitment, governance requirements for numerous Sponsors, Stakeholders (100+) , Investment and Compliance Committees with Senior Executive Management and full End to End Target Business.

Operating Model delivery

Created the Programme’s Steering Committee and associated reporting packages, R.A.C.I Stakeholder identification and management, initial and detailed Business Cases, RFI and RFP process and analysis with a number of Agency Clearing and Custodian vendors, High level Road Maps, Detailed plans for all releases, Architecture End to End blue prints for process and systems changes, risks and issues logs, project interdependencies, facilitated workshops, detailed business and systems analysis performed both directly by candidate or supervision of both internal and externally hired resources.

Supervised and co-ordinated work load for 40 – 64+ resources and a project value circa $21M. Project has successfully implemented Phase 1 and 2 of Core build (incl. clearing, internal trade repository, reconciliation engines, compliance policy requirements including business conduct and other legislative obligations for the SEC and CFTC). Also progressed with 13 new Memorandum for Change programme items based on Dodd Frank legislation releases Qtr 3 2012.