Emily Ouma
London
Summary
Accomplished Vice President with 10+ years delivering first-line accountability for supervisory risk and controls across Global Markets, Investment Banking, and Wealth Management. Proven track record designing and implementing pre-trade and post-trade control frameworks, mapping global risks across all 3 Lines of Defence and collaborating with Engineering, Legal, Compliance, and Trading. Recognised for leading complex risk transformations, building global MI infrastructure, and uplifting entity-level strategy through data-driven thematic reviews and conduct oversight.
Deep familiarity with GBM booking models, client complaints governance, and regulatory frameworks (incl. MiFID II, MAR, SMCR), with direct accountability for control enhancement across global desks. Oversight of complaint resolution, root cause analysis, and escalation pathways at executive level has reinforced risk culture and compliance transparency across business lines.
Delivered risk transformation and controls implementation across Paris, Milan, Frankfurt, London, and Asia, combining global vision with precision execution.
Overview
16
16
years of professional experience
Work history
LEGAL ENTITY RISK AND CONTROL, VP
Bank of New York
London
01.2024 - Current
- Partner with the London Branch Executive team to align entity-level risk posture and governance frameworks with board-defined risk appetite and evolving business strategy.
- Lead full-cycle Risk Assessments across the enterprise taxonomy (~20 risks), challenging metrics and driving control enhancement across Legal, Compliance, and 1LoD.
- Oversee ESG-aligned governance for 8 legal entities, embedding SFDR Article 8 and TCFD-aligned metrics into operational strategies, dashboards, and regulatory reporting.
- Cascade enterprise-wide Risk Appetite Statements and sustainability metrics across business lines, ensuring traceable governance and issue escalation.
- Lead global risk transformation projects, embedding ESG into risk mapping, control design, and thematic remediation frameworks.
- Collaborate with senior leadership and 3LoD to test control effectiveness, manage exceptions, and enforce regulatory alignment with climate and conduct risk goals.
- Champion automation and dynamic MI reporting, delivering real-time insights on climate risk, control performance, and executive decision-making.
- Provide senior oversight of the Client Complaints Framework, governing escalation protocols, root cause analysis, and executive MI to drive transparency and regulatory alignment.
CASS OVERSIGHT MANAGER, VP
Bank of New York
London
07.2020 - 01.2024
- Managed a high-performing global CASS Oversight team of 10+ members, fostering collaboration and inclusion across multiple locations.
- Led firm-wide capacity planning and delivered a unified CASS Risk Assessment model to align fragmented methodologies.
- Expanded risk articulation coverage by mapping interlocks across CASS taxonomies, Controls, and Business Areas.
- Drove CMF standardisation and authored BRDs to support system enhancements and user experience upgrades.
- Delivered CASS training across business lines, uplifting control awareness and driving regulatory compliance.
- Prepared senior-level MI, reported breaches, and syndicated the annual CASS Roadmap for executive alignment.
- Championed 3LoD collaboration, managing strategic initiatives that strengthened oversight and operating effectiveness.
CASS OVERSIGHT MANAGER, VP
Royal Bank of Canada (Brewin Dolphin)
London
03.2016 - 09.2019
- Developed and embedded the CASS Oversight Model and control framework, delivering operational oversight for Client Money and Assets.
- Led CASS Enhancements Programme, including breach remediation, regulatory updates (FCA), and thematic reviews.
- Produced robust MI and conducted deep dives across client asset controls.
- Validated key CASS methodologies (e.g., CMC, CMAR, RP) and strengthened firm-wide awareness and compliance culture.
- Partnered with all 3 Lines of Defence to enhance risk articulation and operating effectiveness.
- Embedded MiFID II requirements and maintained expertise in CASS rule development.
- Supported internal/external audits and represented the firm at key CASS industry forums.
IB MIDDLE OFFICE RISK & CONTROL, AVP
Barclays Investment Bank
London
02.2011 - 01.2016
- Led several initiatives across asset classes, including Risk and Control Assessments (RCSAs) and Global Consolidated Daily Key Risk Indicators.
- Supported Target Operating Model (TOM) restructure, performing Conformance Testing, gap analysis, and control remediation.
- Led process migrations to offshore hubs, developing tailored solutions for operational risk remediation.
- Hosted training on Unauthorised Trading and Conduct Risk; delivered MI around Root Cause.
- Strengthened conduct oversight and tripartite awareness through stakeholder engagement across regions.
- Delivered global Risk and Control Awareness sessions across key offshore hubs (Chennai, Singapore, Mumbai, South Africa), enhancing control culture and operational resilience.
IB OPERATIONS SALES SUPPORT, ANALYST
Barclays Investment Bank
London
05.2010 - 02.2011
- Supported Structured Products Sales & Trading during trade initiation lifecycle.
- Delivered issuance support for award-winning iPath Exchange Traded Notes (ETNs).
- Streamlined issuance workflow, liaising with Sales, Legal, and Middle Office teams.
- Developed user tools and logs to enhance trade monitoring and metrics collation.
IB OPERATIONS RISK & CONTROL, ANALYST
Barclays Investment Bank
London
07.2009 - 05.2010
- Led on-site control testing and remediation in Paris and Milan, driving timely closure of audit and regulatory actions across European branches.
- Produced MI and governance packs for senior committees; led attestation cycles.
- Logged and resolved Operational Risk Incidents; developed preventive controls.
- Liaised with senior stakeholders across EMEA branches during governance meetings.
- Supported auditors with mapped processes, incident QA, and BCM reporting.
Education
Bachelor of Science Honours - Actuarial Science
University of Kent
Certificate in Financial Valuation Modelling - Finance
Wall Street Prep Financial Training Solutions
A-Levels - International Foundation Year
Brookhouse International Schools
NairobiGCSEs -
Alliance Girls' High School
National Primary School Exit Exam
Fred's Academy
Skills
- Risk and Control Framework Design
- Regulatory Compliance (MiFID II, SMCR, MAR)
- Thematic Reviews & Conduct Oversight
- GBM Booking Models & Client Complaint Governance
- Stakeholder Engagement & Executive Communication
- Global Risk Assessment & Taxonomy (1LoD, 2LoD, 3LoD)
- Strategic Leadership & Negotiation
- ESG Risk Integration & Sustainability Alignment
Additional Information
- Named ‘Top Student of the Year’ after ranking #1 nationally out of ~400,000 candidates - first female to achieve this in nearly a decade. Also ranked top STEM student internationally (A-levels, STEM: Engineering).
- Awarded the Barclays Altitude Award for leading a £25m Social Innovation Facility focused on financial inclusion in Sub-Saharan Africa.
- Awarded the BNY Spotlight Visionary Award, a monetary award for exceeding expectations on high-impact, long-term projects.
- Awarded the Shell Scholarship in recognition of academic excellence.
- Awarded the Forum for African Women Educationalists (FAWE) Award in recognition of academic achievement.
- Granted the Company of Actuaries Bursary at Kent University for academic merit and professional promise.
- Selected as a firm representative for panel speaking engagements and graduate recruitment events.
Timeline
LEGAL ENTITY RISK AND CONTROL, VP
Bank of New York
01.2024 - Current
CASS OVERSIGHT MANAGER, VP
Bank of New York
07.2020 - 01.2024
CASS OVERSIGHT MANAGER, VP
Royal Bank of Canada (Brewin Dolphin)
03.2016 - 09.2019
IB MIDDLE OFFICE RISK & CONTROL, AVP
Barclays Investment Bank
02.2011 - 01.2016
IB OPERATIONS SALES SUPPORT, ANALYST
Barclays Investment Bank
05.2010 - 02.2011
IB OPERATIONS RISK & CONTROL, ANALYST
Barclays Investment Bank
07.2009 - 05.2010
Bachelor of Science Honours - Actuarial Science
University of Kent
Certificate in Financial Valuation Modelling - Finance
Wall Street Prep Financial Training Solutions
A-Levels - International Foundation Year
Brookhouse International Schools
GCSEs -
Alliance Girls' High School
National Primary School Exit Exam
Fred's Academy
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