James Smith

Experience

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  HSBC

  Jan 1997 - Jan 2001

  Project manager of global HSBC.com website development projects to provide clients with financial services including investment management and banking.Analysed regulatory requirements of over 80 countries, including data privacy, protection and warehousing, utilising information gathered from external specialists.Constructed Microsoft Access database to record and present regulatory information.Trained staff in the use of computer hardware and software. Risk analysis of HSBC Investment Bank, Asset Management and Private Banking global activities, and reporting of proposed enhancements.Self starter, reviewing varied countries including UK, USA, HK, Japan, Singapore, Taiwan, Korea, Indonesia, India, Australia, South Africa, Channel Islands, France, Czech Republic.Managed relationships with regulators and recruited teams of professional staff.

  • HSBC Group Compliance, Project Manager - Internet & E-Commerce

    Jan 2000 - Jan 2001

  • HSBC Group Financial Services Audit, Assistant Audit Manager

    Jan 1997 - Jan 2000
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  Mitsubishi UFJ Financial Group, London

  Jan 2001 - Jan 2004

  Audit Manager

  Risk Management Committee Member, responsible for Operational Risk and Audit matters.Reviewed risk management and directed KPMG's risk specialists for obtaining regulatory approval of internal risk models for capital adequacy calculations.Analysed Investment Management, Banking, Fixed Income, Derivative Trading activities covering front, middle and back office processes and IT systems.Project managed internal audit assignments and initiated improvements.Effective relationship management with all levels of staff, external specialists and regulators through clear written and oral communication. Weniger anzeigen

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  UBS

  Jan 2004 - Jan 2012

  Investment Committee Member advising on investment decisions, products, process, risk management, compliance with regulations and governance.Risk management and reporting of investment products and processes, including setting limits, developing Operational Risk Framework, Sarbanes Oxley Certifier.Business risk reviews performed such as investment programmes adhering to process.Investment Process Consultant - designed, launched and monitored the entire investment process from preparation of investment decisions to implementation.Project Manager of projects including Operational Risk Framework, Operational Risk Assessments, Sarbanes Oxley Certifications, New Product & Service processes.Product Development for launch of investment programmes comprising traditional asset classes and alternative investments. Weniger anzeigen

  • Chief Risk Officer Risk Review, Director

    Jan 2010 - Jan 2012

  • Investment Management, Director

    Jan 2004 - Jan 2010
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  UBS Group

  Jan 2012 - Jan 2012

  Chief Executive Officer's Regulatory Relations Team, Director

  Business risks noted in Regulatory Reviews were analysed and assessed, being documented with mitigating solutions in database to track them through to resolution and provide reporting.Regulatory Relationship managed between UBS Senior Management and core regulators including FINMA (CH), FED (US), FSA (UK) with many regulatory submissions.

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  Lloyds Banking Group

  Jan 2012 - Jan 2013

  Business Risk & Change Team, Deputy Head

  Business Risk Management reviews of offices including Zurich, Geneva, Monaco, Gibraltar, Dubai - assessing adherence to business processes and delivering mitigating solutions.Business risks reduced through educating and training colleagues and simplifying governance structures.Group Policies framework for clearly defined owners to embed policy in international locations was designed, presented to management committee for approval and implemented.Subject Matter Expert of policies, coordinating gap analysis and remediation.Governance framework for decision making committees was designed and implemented.Project leader for the design and implementation of tax effective committee decision making structure.Business solutions delivered for regular Audit, Regulator, Group level requests. Weniger anzeigen

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  UBS

  Jan 2013 - Jan 2014

  Risk Operations, Director

  Risk, Compliance, Governance and Regulatory oversight of businesses in Switzerland and EMEA.Risk Committee member responsible for risk reporting and compliance with regulations.Regulatory Control Framework design, review and implementation of improvements.

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  JSC

  Jan 2015 - now

  Founder

  JS Consulting designs and implements Risk, Regulatory, Compliance, Finance, IT, Environmental, Social & Governance projects for clients including UBS, Credit Suisse, Bearing Point and Dydon. James is the founder and he is a subject matter expert (reflecting professional experience and qualifications in Risk, Finance, Audit, Governance), project manager, business analyst, IT system designer, implementer & tester.Complementary activities include yachting as RYA Skipper - introducing those learning sailing to sailing and sailing schools. Also as Auto Sport Schweiz Marshal for events in Switzerland and overseas. Weniger anzeigen

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  Dydon AG

  Jan 2019 - now

  Professional Services Leader