Alastair Moffatt

Experience

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  Arthur Andersen & Co.

  Dec 1990 - Aug 1994

  Auditor

  Audited investment banks, property companies and insurance companies.Significant amount of involvement in non-audit work and consulting projects.

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  PwC Cayman Islands

  Aug 1994 - Aug 1996

  Senior Auditor

  Managed teams and executed audit work for clients, predominantly banks, offshore funds, special purpose vehicles and venture capital structures.

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  PwC UK

  Aug 1996 - Sept 1997

  Audit Manager

  Specialised in audits of Investment Management companies and their investment vehicles (unit trusts, investment trusts, property portfolios).Managed a portfolio of audit clients, supervising audit teams and controlling fee billing.Involved in IMRO related special work projects (including advising clients on regulatory structures, OEICs and conversion opportunities).

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  Robert Fleming

  Sept 1997 - Oct 1999

  Internal Audit Manager

  Carried out internal audit reviews throughout the asset management business globally, managing a team of internal auditors.Designed, implemented and rolled-out a risk and control self-assessment database; facilitated workshops to identify key risks and worked with management to enhance processes to better control the identified risks.

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  Schroders

  Oct 1999 - Mar 2005

  Chief Operating Officer, Fixed Income

  Had responsibility for ensuring adequacy of the control environment within Fixed Income (fund management, dealing, risk management, fund accounting, IT support) reporting to Global Head of Fixed Income, with a mandate to improve the fixed income operating platform and manage all non-investment matters. Sponsored and managed projects to initiate change and represented Fixed Income in all Schroder operational initiatives, in particular the project to outsource custody and fund accounting to JPMorgan.Established processes for management oversight of fixed income globally (US, Japan, Hong Kong, Singapore, Korea, Indonesia).Provided input to Schroder due diligence reviews of potential corporate acquisitions.Had line-manager responsibility for the Fixed Income dealing desk. Show less

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  Insight Investment

  Mar 2005 - Apr 2010

  Head of Operational Risk / Innovation / Investment Operations

  March 2009 – April 2010 Head of Operational RiskEnsured that risks were identified, quantified and managed effectively. Developed a risk and control evaluation tool with associated management reporting.Managed a team of three covering RCSA, IT security, Business Continuity and KPI reporting.Liaised with Lloyds Banking Group, initiating group reporting and establishing policies post acquisition of HBOS.September 2007 – March 2009 Head of InnovationTasked by CEO with embedding innovation and establishing a robust process for capturing ideas, screening for viability and driving forward those that were approved.The role required early product feasibility assessment, development of external partnerships, liaison with the distribution team, solving legal and operational blockages, producing the business case and project ownership.March 2005 – September 2007 Head of Investment OperationsResponsibility for operations in the front office across all asset classes, reporting to the CIO, ensuring control environment was robust and that projects to implemented required changes were scoped and delivered successfully.Represented the fund managers in their interaction with internal and external service providers including significant involvement in major projects including outsourcing back-office functions to Northern Trust. Show less

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  Coal Pension Trustees Services

  Apr 2010 - Feb 2013

  Chief Risk Officer

  Risk management for the two Pension Schemes for which Coal Pension Trustees Services Limited provided the Executive function and Coal Pension Trustees Investment Limited provided investment management. CF10 and CF11. Ran the project to establish CPTI as an investment firm, submit the application and obtain FSA authorisation, which involved preparing the compliance manual, policies and procedures, establishing a committee structure with associated governance manual and agreeing an IMA with the Schemes’ Trustees covering advisory and discretionary management services. Carried out duties of Compliance Officer and Money Laundering Reporting Officer for CPTI. Managed outsourced monitoring service provided by a third party.Developed the Schemes’ risk framework to cover strategic objectives, risk self-assessment, risk appetites and controls documentation. Maintained an assurance matrix and supporting Key Risk Indicators and metrics for committees. Show less

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  GH Financials

  Mar 2013 - Dec 2018

  Chief Risk Officer

  Implemented and managed the risk management framework for the privately owned, FCA regulated, exchange traded derivatives global clearer, G. H. Financials Limited and its subsidiaries in Chicago and Hong Kong, with 25 exchange memberships providing connectivity and clearing services to a global client base of algorithmic, HFT, and point-and-click traders. Built a Risk department of 12 staff covering regulatory, operational and credit/counterparty risks.Given the small size of GHF Group (70 staff globally) the CRO role involved ensuring the team was functioning optimally (through delegation and review) whilst adopting a hands-on approach to maintaining key documents, notably ICAAP, ILAAP, Recovery and Resolution Plans, Business Continuity Plan and a suite of policies covering all aspects of the business. The Risk function included a compliance officer as a direct report within each GHF Group entity (including the CF10 in UK), a trade surveillance unit and a market and client counterparty risk team operating on a global basis.Responsible for AML and held CF11 function for GHF Ltd (also CF28 and 29). Show less

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  Tradition

  Apr 2019 - now

  Chief Risk Officer

  Responsible for enterprise-wide risk management at Tradition, the interdealer broking arm of Compagnie Financière Tradition, one of the world's largest interdealer brokers in over-the-counter financial and commodity related products.