Lee Harrison-Wood
Worthing,England
Summary
An experienced and driven Operational Risk and Compliance professional with risk and conduct management experience in the first and second line of defence and regulatory engagement. A proven track record in retail banking project management, including third party relationship management, card scheme management, product development and delivery. An experienced strategic team leader with a focus on staff development and achieving targets.
Overview
22
22
years of professional experience
Work history
Manager, Vice President
DNB Bank
06 2023 - Current
- Managing a team of six within the Non-Financial Risk & Reporting function, leading the planning and execution of all operational risk and compliance activities across the branch.
- Reporting on risk appetite, risk incidents, RCSAs, control testing and framework updates to local Committees, Board and Group fora.
- Creating and delivering training plans for branch on all Non-Financial Risk mandatory training requirements, including SMCR, Conduct and Market Abuse.
- Revising and implementing robust RCSA framework and engaging with all business areas and stakeholders, identifying key controls, and relevant action plans.
- Managing incident and issue management for the Bank, including appropriate follow up of incidents or loss events to ensure there are no systematic issues.
Senior Compliance Manager
Shawbrook Bank
London, England
02 2022 - 12 2023
- Delivered effective oversight and advice regarding compliance with policies, procedures, systems, controls, and governance to support the Bank's activities.
- Enhanced the Compliance and Conduct Risk Framework to facilitate the delivery of the wider Compliance Plan.
- FacilitatEd and managed horizon scanning to maintain awareness of regulatory developments and provide guidance on the interpretation of regulatory requirements and the practical application of internal policies.
- Managed and rolled out the successful operation of the Bank's risk management framework and the team's conduct and compliance risk management framework
- Developed junior team member within the Compliance Advisory team to support their integration into the Bank and the Compliance team's roles and responsibilities.
Senior Operational Risk Manager
Shawbrook Bank
London, England
08 2021 - 02 2022
- Reviewed and challenged the Bank's operational risk registers, incident logs and GRC tool usage to identify operational weaknesses and propose recommendations to mitigate or reduce the risks identified.
- Provided second line SME oversight, challenge and collation of the organisation's top risks, management actions, heat maps and KRIs to support senior management reporting.
- Delivered the Operational Risk (Pillar 2A) requirements for the annual ICAAP submission, including scenario identification, workshop facilitation, modelling outputs and presenting results to Board Risk Committee.
- Delivered and reported on thematic risk reviews and control testing activities to provide assurance over key risk areas and support delivery of the Bank's Risk Plan.
- Deputised for Head of Operational Risk at relevant fora and internal meetings to provide second line oversight and challenge.
Operational Risk Manager
Shawbrook Bank
2018.09 - 2021.07
- Chaired and managed fortnightly Policy Review Sub-Committee to ensure all policies adhered to governance requirements and were escalated to relevant Committees as appropriate
- Collated and presented monthly Operational Risk reports and escalations at multiple internal forums such as Risk Committee and Risk Board and deputised for the Head of Operational Risk as required
- Managed the completion of Operational Risk (Pillar 2A) requirements for the annual ICAAP submission, including engagement with external auditors
- Partnered with key business areas to support, review and challenge first line Risk and Control Self-Assessment (RCSA) returns in line with the Group Operational Risk Management Framework.
Senior Compliance Monitoring Officer
Vanquis Bank
12 2017 - 09 2018
- Managed a team of Monitoring Officers across multiple locations to deliver the annual Compliance Plan, ensuring adherence to current legal and regulatory requirements (e.g FCA handbook, GDPR, CONC, SYSC and DISP)
- Delivered compliance support to key stakeholders across the business, including embedding of policies and procedures that have a clear focus on managing compliance and conduct risk
- Presented regular reporting on conduct outcomes to senior management, including escalation of conduct breaches
- Enhanced the Compliance Monitoring Framework to support delivery of good customer outcomes.
Senior Risk Analyst
Vanquis Bank
2012.12 - 2017.11
- Developed and enhanced the Bank's Enterprise Risk and Conduct Risk management framework and implemented policies and procedures within the first line operation
- Created and managed an enhanced quarterly RCSA (Risk and Control Self-Assessment) process to monitor, review and challenge business-wide operational and conduct risks
- Delivered annual risk appetite and tolerance level reviews to enhance the Bank-wide risk appetite framework
- Managed all Bank-wide operational risk events with key stakeholders to determine root cause, implement mitigating actions and capture all operational risk losses
- Delivered risk assessments and dedicated workshops with the first line operation on key initiatives (e.g
- New products, regulatory changes) to ensure that material risks and mitigating controls were identified, understood and managed.
Project Manager
Vanquis Bank
2009.02 - 2012.11
Business Consultant
Vanquis Bank
2008.01 - 2009.01
Client Services Manager
Vanquis Bank
2006.01 - 2008.01
Business Analyst
Vanquis Bank
2004.04 - 2006.01
Card Scheme Relationship Manager
Lloyds TSB
2002.08 - 2004.03
Education
CMI Level 3 Certificate in Principles of Management and Leadership - undefined
February.2023
Training Express Risk and Compliance Diploma - undefined
February.2021
<ul><li>IRM Digital Risk Certificate</li></ul> - undefined
March.2020
<ul><li>IRM Application and Theory of Risk Management (Distinction and Merit)</li></ul> - undefined
November.2014
PRINCE2 Foundation in Project Management - undefined
August.2011
ITIL Foundation Level 3 - undefined
March.2008
Skills
- Relationship Management
- Business Analysis
- Operational Risk Management
- Conduct Risk Management
- Presentation Skills
- Change Management
- Team Management
- Stakeholder Management
Timeline
Operational Risk Manager
Shawbrook Bank
2018.09 - 2021.07
Senior Risk Analyst
Vanquis Bank
2012.12 - 2017.11
Project Manager
Vanquis Bank
2009.02 - 2012.11
Business Consultant
Vanquis Bank
2008.01 - 2009.01
Client Services Manager
Vanquis Bank
2006.01 - 2008.01
Business Analyst
Vanquis Bank
2004.04 - 2006.01
Card Scheme Relationship Manager
Lloyds TSB
2002.08 - 2004.03
Manager, Vice President
DNB Bank
06 2023 - Current
Senior Compliance Manager
Shawbrook Bank
02 2022 - 12 2023
Senior Operational Risk Manager
Shawbrook Bank
08 2021 - 02 2022
Senior Compliance Monitoring Officer
Vanquis Bank
12 2017 - 09 2018