Louis Petherick's Email Addresses & Phone Numbers

An experienced senior Compliance and Risk professional with extensive financial services knowledge, specialising in all areas of Compliance, Conduct, Operational and Business Risk. A dynamic individual combining strong interpersonal skills with the ability to influence and negotiate at all levels of the business. The ability to grasp new ideas and concepts quickly, whilst demonstrating a pragmatic and...

An experienced senior Compliance and Risk professional with extensive financial services knowledge, specialising in all areas of Compliance, Conduct, Operational and Business Risk. A dynamic individual combining strong interpersonal skills with the ability to influence and negotiate at all levels of the business. The ability to grasp new ideas and concepts quickly, whilst demonstrating a pragmatic and innovative approach to problem solving. Proven abilty to balance risk, customer outcomes with commercial consideration. A strong and motivational leader with a proven track record of managing high performing teams. An excellent communicator able to deliver effective verbal and written presentations and reports to facilitate strategic decision making.Head of Regulatory Compliance (CF10) @ Providing leadership at Exec Team level to ensure that Regulatory Compliance and Conduct Risk is fully considered in strategic decisions made by the Board. Manage the various regulatory relationships for M&S Bank and support the implementation of global standards as part of the Global HSBC Retail Banking and Wealth Management (RBWM) business. From April 2015 to Present (9 months) Chester, United KingdomHead of Regulatory Advice @ To lead and develop the Regulatory Risk Advisory unit in delivering expert advice and guidance to key stakeholders within the Bank. Ensuring an effective 1st line control framework, including systems and processes to ensure that current and future exposure to regulatory risk is identified, measured, managed, monitored and reported-with a focus on conduct risk (fair treatment of customers and delivery of appropriate customer outcomes). Advising and influencing Senior Management across the business in all aspects of regulatory compliance specifically in relation to product and channel development and the identification and delivery of material regulatory change and industry framework enhancements From February 2014 to April 2015 (1 year 3 months) Manchester, United KingdomHead of Compliance & Conduct Risk - Digital @ Responsibility for driving effective and commercial compliance and conduct risk controls within the Digital channel to ensure appropriate customer outcomes are achieved. Managing a senior team of compliance, conduct risk and risk professional to provide direction, expertise and challenge on the design and operating effectiveness of the overall governance and control framework. Acting as a conduit between the business, Divisional Risk teams and Audit and leading regular interaction with the FCA. From April 2012 to February 2014 (1 year 11 months) Head of Operational Risk @ Reporting to the Chief Risk Officer and managing a team of 11 FTE with the responsibility for setting and executing the Banks operational risk strategy. Covering all operational risk areas including information risk, regulatory risk, internal and external fraud risk, business continuity and personal and physical security. Working with the Directors and senior management to ensure operational risk is embedded across the Bank and operating in accordance with local and Group requirements whilst considering the needs of the customer. Also responsible for helping shape the businesses AMA framework across the ING Group to ensure operational risk capital is proportionate to the underlying risk environment. From March 2010 to April 2012 (2 years 2 months) Head of Risk and Business Continuity @ Control Function responsibility (CF28 System and Controls) for Risk Management, reporting to the Group Risk Director responsible for the establishment and maintenance of an effective risk management framework across the Group, to support the Board in the day to day running of the business and on strategic decision making. Delivered a robust ICA methodology and operating as part of the senior management team fostered a risk aware culture providing meaningful risk management information to various Executive Committees, Board Risk Committee, legal entity Boards and the FSA. From June 2008 to February 2010 (1 year 9 months) Senior Risk Manager @ Reporting to the Head of Risk, managing a multi-location team with responsibility for the design and implementation of a robust risk management framework for the outsourcing partners both in the UK and India, linking to internal process and methodology to drive appropriate risk mitigation activity. From June 2007 to June 2008 (1 year 1 month) UK Risk Manager @ Reporting into the UK Life Risk Director and General Business CRO, managing consultant and contractor resource across a number of locations ensuring the UK business managed risk and risk related capital in an efficient and cost-effective manner. Deputising in all aspects of their role on a day to day basis including attendance at Board meetings and representing the UK in risk management forums across the wider group. From May 2004 to June 2007 (3 years 2 months) Zurich Financial Services @ From March 2000 to May 2004 (4 years 3 months) Business Evaluation Adviser @ From January 1998 to March 2000 (2 years 3 months) Senior Administrator/Team Leader @ From September 1993 to January 1998 (4 years 5 months) National Diploma, Business and Finance @ Swindon College From 1991 to 1993 Dorcan School From 1986 to 1991 Louis Petherick is skilled in: Enterprise Risk Management, Financial Risk, Banking, Business Continuity Planning, Governance, Operational Risk, Outsourcing, Retail Banking, Risk Assessment, Risk Management, Strategy, Team Management, Operational Risk Management, Incident Management, Change Management, Business Continuity