Ian Pearce

RBC Brewin Dolphin plc is one of the largest British Investment Management and Financial Planning firms with 39 offices throughout the UK and the Channel Islands. The company has over £42 billion of investments under management.

• Engaged by the Managing Director Private Clients to build and streamline new process architecture covering c220 process journeys and 5,500 process tasks
• Responsible ensuring 32 offices adopted new process architecture site from new to a total of c11k site visits over a 9 month period
• Prioritise c 1000 process issues and improvements and align to delivery roadmap
• Document End to End as Is process (including business owners, handoffs, systems and data)
• Time & Motion Study & Root cause analysis for as is process (Identify Average processing time per task)
• Collaborating with key stakeholders including Business Management, Front Office Risk Management, Group Operations (Business Support), Operating Risk, Client Services and Finance

Key Projects & Achievements

· Align Process Inventory to ensure consistency and move towards a 'single' process inventory across Core business and Financial Planning

· Increase Navigational guides adoption above 9k for a 6-month period reducing CASS breaches and Operating Risk events by 30% month on month.

· Create business standards and automated rules to reduce data errors by 25%

· Provide Process improvement initiatives to support business growth and release of processing capacity. growth and release of processing capacity.

HSBC Global Banking and Markets provides tailored financial solutions to governments, large corporations and financial institutional clients worldwide

• Engaged to lead the Client Data Business Architecture workstream within Global Banking and Markets, reviewing the Client Operations function, improving the customer journey and identifying efficiencies
• Reporting to the Programme Manager, recruiting, assembling, training and leading a continuous improvement team comprising 3 Business Analysts
• Responsible for leading the end to end process review, analysing and identifying solutions to key problem statements across ~500 operational processes, spanning 9 operational channels and 4 geographic locations supporting Equities, Fixed Income, Treasury and Derivatives
• Collaborating with key stakeholders including Regulatory, Sales/Trading, Global Banking, Traded Risk and Credit Analysis to develop detailed operating models for key projects (Brexit/MIFID 2)
• Developing clear Legal entity and system scope, problem statement definition and consumer data requirements including business terms/definitions, usage/rules, and as-is and to-be source systems
• Developing transitional state end to end data flows across Global Banking and Markets
• Leading end to end process reengineering reviews including desk studies, procedure reviews, workshops and data analysis to identify waste and improvement opportunities business wide
• Standardising the business data model cross asset and system to ensure clear mapping, consistency and alignment of data into key projects

Key Projects & Achievements

• Successfully completed client operations process reviews across ~500 operational processes, 9 operational channels and 4 geographic locations, documenting a new end to end to-be target operating model and business improvements
• Identified, prioritised and presented improvement opportunities to the Senior Management team and worked closely with sponsors and stakeholders to map improvements to strategic project plans
• Recommended improvements to reduce current onboarding turnaround time and generate cost benefits of circa $35m
• Development of core client data structures to support key Client projects and Regulatory initiatives (including Brexit/MIFID 2) to remove initial complexity and allowing capability to respond to changing priorities

• Engaged to design a new Global Banking and Markets operating model for business and technology, to support FATCA, CRS, and 871m regulatory tax reporting and common reporting standards
• Responsible for leading detailed product scenario and gap analysis for GB&M products and development of detailed business requirements for all functions in the end to end trade lifecycle including pre-trade capture, client onboarding, pricing, trade capture, settlement and ledgers
• Documented functional and data architecture requirements and developed a new tax reporting operating model, functional model, business service model, RACI profile, role definition, processes and procedures
• Developed test cases including success criteria, test conditions, and end to end traceability from regulatory requirements, business requirements and functional requirements to solution design

Key Projects & Achievements

• Successfully delivered and end to end tax regulatory reporting solution and operating model, achieving FATCA, CRS and 871m reporting requirements, solution delivered into 50 countries within Global Banking and Markets tax operations functions
• Developed a consistent approach to analysis across regulation including MRUD, Volcker and MiFID II.

Deutsche Bank is a German multinational investment bank and financial services company, operational in 58 countries and is the 15th largest bank in the world by total assets

• Engaged to lead the business analysis activities and produce a new operating model to support the implementation of a global FATCA (Foreign Account Tax Compliance Act) reporting solution, across 40 countries, local compliance authorities and complex operating structures
• Reported to the Programme Manager, led a team of 8 comprising Business and Functional Analysts
• Provided SME to development of IT infrastructure requirements for delivery of the FATCA compliance reporting solution to each business unit/country
• Defined functional scope and requirements roadmap, analysed options available and identified core candidate systems for detailed analysis
• Documented reporting and payment applications and associated interfaces/formats
• Designed and documented impact on application and infrastructure architecture for preferred solution

Key Projects & Achievements

• Presented analysis and operating model changes to the senior business sponsors for business sign off
• Successfully delivered a new target operating model and IT roadmap to support the implementation of a FATCA regulatory reporting solution.

RBS Markets & International Banking provide liquidity, thought leadership and risk management in rates, currencies, credit and financing and risk solutions to global financial institutions, investors, counterparties and corporate customers

• Engaged to lead the FATCA Programme Certification business analysis workstream within RBS Markets and International Banking (M&IB)
• Responsible for delivering a new robust attestation framework to enable all foreign financial institutions ‘responsible officers' to input periodic certifications of compliance to the Inland Revenue Service for FATCA regulations
• Provided certification and control framework guidance to Regional Management teams on FATCA certification requirements
• Developed and maintained operating models with controls for operational and financial functions impacted by FATCA globally across 50 operating jurisdictions in M&IB
• Defined roles and responsibilities including accountability statements to ensure delivery of FATCA control objectives
• Identified and classified 1,989 M&IB legal entities including input to policy and legal entity governance
• Managed multiple stakeholders and led executive presentations

Key Projects & Achievements

• Designed and delivered a robust compliance attestation framework, control procedures and new operating model enabling RBS M&IB to successfully achieve FATCA certification
• Ensured sufficient infrastructure provided for ongoing FATCA compliance certification requirements.