Johan Joly

• One year assignment as a Risk and Regulatory Compliance Advisory Specialist to support the Global Head of Wholesale Credit Risk (WCR) Portfolio Management with the stand-up of a new Limit Management Process following Matters Requiring Attention (MRA) issued by the Office of the Comptroller of the Currency (OCC).
• Provided in-house advice and guidance on setting up a new In-Business Credit Risk (IBCR) Function within 1LoD.
• Defined a new Limit Management Interaction Model (Roles and Responsibilities) between 1LoD and 2LoD
• Supported assigned business units to identify, document and understand their regulatory compliance standards and associated regulatory compliance obligations in line with the firms Compliance Risk Management Framework.
• Supported assigned business units in the identification of regulatory compliance risks, assessing controls and reporting on effectiveness of controls to ensure compliance with applicable standards and internal policy requirements in line with the firms Compliance Risk Management Framework
• Assessed the effectiveness of current risk prevention and mitigation controls to ensure managers in the assigned business units are equipped with the education to identify and judge the severity of risks
• Supported management and maintenance of the firms Policies, Standards and Procedures
• Contributed to the establishment of key risks indicators (KRIs) and tracking and reporting methodologies as part of a new standard of Wholesale Credit Risk Limit management
• Identified areas of improvement within Portfolio Management, optimising processes and ensuring conformity under audit protocol.
• Trained new and junior team members to implement the new limit management activities in relation to limit setting, limit monitoring and breach remediation.

• Founder of Maddox Hartmann Advisory a boutique consultancy specializing in Financial Risk Management, Remediation, Conduct, Regulatory and Compliance Risks
• Secured multiple assignments at Deutsche Bank, UBS, Barclays, HSBC and Accenture Capital Markets.

• Second assignment at Deutshe Bank to reprice inflation derivative trades whilst assessing associated operational and back office risks
• Assigned to the Exotics Trades Review Division working in conjunction with the Head of the Inflation Derivatives Trading Desk.
• In charge of auditing and repricing a basket of complex Structured Notes and Exotic Derivative Trades
• A highly sensitive front office remediation programme.

• Recalled by UBS Management to help with both the USA SEC Security Based Swap Dealer (SBSD) and Libor Loans Migration programmes
• Helped to implement and maintain the Operational Readiness framework for delivery of the SEC SBSD Program requirements across all relevant UBS entities, business divisions, and locations against the regulatory timeline
• Facilitated Operational Readiness working groups across impacted stakeholders to track progress against the delivery plan, resolve conflicting deliverables, dependencies, risks, and issues, and sign off plan milestones
• Project managed the transition of Libor loans to Alternative Reference Rates against the regulatory timeline; leading the Back Book Contractual Language Review (Tough Legacy) and Libor Fallback Client Outreach.

Senior Business Analyst - Multiple Contracts:

* June 2019 - December 2019

Assigned to the Fund Transfer Pricing - Group Treasury Team supporting the Head of Liquidity Management across several funding curve and FTP related projects including Libor migration.

• Daily FTP curve management and new FTP curve parametrization

* December 2019 - December 2020

Assigned to the Libor Transition Programme XVA Workstream supporting the Global Head of the XVA Trading Desk.

• Impact Analysis of Libor transition on XVA books, booking flows, trade booking systems and MI Reporting.
• Managed the Alternative Reference Rate (ARR) Products Trading Enablement Analysis and Testing.
• Participated to the Conduct and Legal Risks Working Groups and Operating Committees.
• Led the Back Book Contractual Language Review (Tough Legacy) and Libor Fallback Client Outreach. Contributed extensively to the elaboration of the Conduct and Legal Risk Assessment Remediation Plans.

Global Valuation was a FinTech firm on XVA methodology and solution with cutting-edge software-hardware solution specifically engineered for consistent firm-wide analytic calculations for XVA and capital optimisation strategies, providing specialised risk analytics for high-dimensional risk system.

• OTC Derivatives Advisory Services in free association with Global Valuation led by Dr Gary Wong.
• Co-presentation with Dr Gary Wong at conferences and led multiple workshops on SFTR, XVA, IBOR reform, Capital and Liquidity Costs.
• Unified efforts with Dr Gary Wong towards business developments.

• Assigned to the Exotic Derivatives and Structured Notes Modelling Team - Group Treasury Division
• Eight-week Front Office Remediation Project in relation to Complex Trades Review, Operational and Legal Risk Assessment, Interest Rate and Credit Derivatives Modelling
• Contracting Role via Dawnbud Limited

• Assigned (contract)to the Regulatory and Business Change Team reporting directly to the Global Head of Capital Markets Division
• Referred to Accenture by two Managing Directors when working on MiFID II project at HSBC in February 2017
• Assigned to a Tier 1 Bank (workstream lead) to work on their Treasury/Collateral Management Programme / SFTR Implementation
• Originated a potential business partnership between Accenture and Global Valuation Ltd to nurture high value advisory and project works in relation to OTC Derivatives Valuation Adjustments (XVA).

• Global Regulatory Change Lead role reporting directly to the COO Front Office (GMCS)
• Advised the business on Margin Rules, Pricing and Transaction Costs under MiFID2
• Prepared extensive communication and training documents for Front Office in relation to MiFID2
• Communicated with Sales and Trading teams to raise awareness of outcome and impact measurement throughout organisation
• Key stakeholder in BCBS/IOSCO, Variation Margining for uncleared OTC derivatives

• Assigned to the Loans and Derivatives Modelling Team
• Recalled by the Global Head of Remediation at Barclays in July 2015 to manage various front office projects
• Repricing and remodelling of variable annuity loans linked to Libor rates
• Credited for managing a remediation project which identified and subsequently fixed substantial back office operational issues saving the bank £650 million in redress payments.

• Assigned to the OTC Derivatives Modelling Team - “Mis-selling of Business Swap Loans”
• Member of the Client Engagement (CF30) and Modelling Team, repricing and restructuring hedging products
• Promoted cell leader by the Head of Remediation to train numerous front office consultants in relation to redress modelling and procedures
• Engagement with Regulator (FCA) and Independent Compensation Reviewers (KPMG, PWC)

• HEAD OF INSTITUTIONAL FIXED INCOME SALES - NORDICS, SWITZERLAND and LUXEMBOURG
• Identified new business opportunities across Europe, collaborated with senior investment decision makers at pension funds, financial institutions, and multi-manager funds
• Created sales plans to grow and establish brand name with institutional markets
• Promoted products included index funds, fixed income strategies, and absolute return funds
• Initiated and won a €30 million investment deal three months after joining based on established personal contacts
• Set up a multi-billion pounds business venture between LGIM and one of the biggest fiduciary manager
• Initiated significant improvement to the company's operational risk management policy (i.e
• Pre-trade compliance, enhanced performance attribution system, GIPS compliant data)
• Set up meetings with key prospective investors/consultants never accomplished by my predecessors
• Promoted 3 months after joining the firm to Head of Sales based upon my business development skills
• Developed and maintained relationships with prospective clients outside of the United Kingdom.

• Contributed to business development and operational infrastructure
• Achieved goals established in the budget and sales plans
• Promoted the company and Global Fixed Income products to target institutions and private investors across Europe, Africa and the Middle East
• Saved US$175 million investment from a High-Net-Worth investor who had decided to withdraw his money from the fund
• Credited by Management in the US for rescuing these assets in a very professional and efficient manner
• Successfully set up meetings with prominent prospective institutional investors across Europe
• Commended on the achievements by Management, as others in the organization had not been successful in their sales efforts with these target clients
• Provided same day service to established clients, solving operational problems and answering technical queries.

• Developed business plan and sales strategy for the European region
• Reported to the Global Head of Fixed Income Research
• Recruited by the Global Head of Fixed Income Research to manage LehmanLive platform's development
• Developed and managed the full sales cycle for new revenue streams in the European Market
• Extensive interaction with IT and Analytics Team to develop trading analytical tools and improve coding
• Commended by my Senior Management in New York for putting together an innovative and elaborate Sales Strategy which was copied and implemented in the USA
• Marketed Fixed Income LehmanLive to Hedge Funds, Asset Management Companies, Pension Funds, and Financial Institutions Accounts across Europe and the Middle East
• Increased LehmanLive fixed income platform usage by 25% (yoy).

• Priced and marketed Inflation and Interest Rate Derivative products across Europe and the Middle East
• Established relationships with corporations and financial institutions
• Ensured customized services and products met clients' sophisticated hedging needs
• Built the Derivatives Marketing Desk in conjunction with Legal, Finance and Compliance divisions
• Appointed Project Finance Lead Hedging Arranger to manage hedging arrangement with participating banks
• Promoted twice in five years for consistent high sales-trading performance
• Supervised full development of structured products and pricing derivatives
• Generated an average personal annual gross Trading P&L (, ) of £5.93 million.

• Interest rate product development: Identification of market requirements by meeting market participants, designing contract specifications along with IT, support development of marketing campaigns and communicating information to the business.

• OTC Derivatives Trading Desk Support rebooking ECU Swaps to Euro
• Transaction reindexing and trade repapering
• Impact of the Y2K Problem on the Swap Booking Models