Our Portfolio - case studies

Fintech startup - transaction cost analysis

Financial technology startup providing standardised data metrics analysis for trading teams, connecting the world's financial institutions to a common data layer. We provide operational management and governance at a senior management c-suite level plus management of information security.

New architecture for national payments infrastructure

Working as part of a programme management team of over 100 people for a Big 4 Consultancy - project management on a multi-year, multi-million pound programme  creating the retail payment infrastructure to keep the UK at the forefront of payments. Responsible for management of the interface for the regulatory workstream dealing with the PSR & Bank of England to ensure the new architecture meets the regulatory framework requirements.

Major post-acquisition transformation programme

Regulatory Compliance, Integration - Programme Management

Successful implementation of a global 2-year programme to ensure regulatory compliance on the migration and integration of trading venues and businesses onto the technology platform of a leading US global Futures / Options Exchange Trading company. as part of a global integration / transformation programme.  Played a key role in the global Programme Management team, coordinating c.100-strong project team, key stakeholders and SMEs across Legal, Compliance, Finance, Information Governance, Operations, Client Onboarding, Fees & Billing, and Outsourcing, to ensure change requirements implemented.

Key activities:

Analysed and scoped operational and technical changes needed across multiple operational areas to ensure regulatory requirements met across all impacted regions - EMEA, US and Asia.

Created project implementation plan, and developed operating model and control framework

Oversaw technology development and implementation to ensure operational readiness and integration compliant.

Prepared regulatory submissions to FCA, AFM, SEC/FINRA to meet global regulations including MiFID II and Regulation ATS.

Brexit

Brexit Programme Management 

Led a multi-year programme to ensure financial services and trading venues could continue to offer services to EU clients post-Brexit.

Oversaw a Project team of c.50 across Technical, Legal, Compliance, Client On-boarding, HR, Company Secretariat, Risk, Tax, and Finance.  

Set up new office in Amsterdam (technical and facilities) to operate Regulated Market, MTF and Investment Firm.

Set up new legal entities and obtained regulatory approval / licences (FCA in UK and AFM / DNB in Netherlands) within agreed timescales.

Undertook ongoing monitoring of regulatory change and EU / UK agreements to ensure business readiness.

EU data protection regulation

GDPR Project Management

Implemented business change requirements across 6 business lines to ensure GDPR compliance, coordinating and leading a 50-strong Project team.

Liaised with Technology, Sales, Marketing, Business Management, HR, Payroll, Reward & Benefits, and external application providers to assess processes.

Carried out extensive remediation of processes / procedures and ensured alignment and consistency across each area.

Designed and developed control framework and embedded future change process and operating model to ensure ongoing GDPR compliance.

 

Global tax regulation

Key part of Management Team on 5-year $90m global programme to implement operational tax regulations across Investment Banking, Wealth Management, Asset Management, and core Group services. 

Project Management; CRS/AEOI & FATCA 

Delivered regulatory compliance relating to CRS (Common Reporting Standard), AEOI (Automatic Exchange of Information) and FATCA (Foreign Account Tax Compliance) tax regimes..

Led global workstreams / project teams of c.100 across core business areas of Investment Banking, Wealth Management and Asset Management, with regular travel to Zürich and Kraków.

Worked closely with internal Audit and Risk functions and participated in FINMA (Swiss Financial Market Supervisory Authority) audit.

Developed Target Operating Model and managed design / implementation of control framework and drafting of Group Tax policy.

Project Management; Group Tax Competence Centre Controller  

Led project to deliver design and implementation of global tax control framework including governance, process, procedure and policy-design.

Ensured compliance monitoring of tax regulation across Investment Banking, Wealth and Asset Management.

Developed and managed global Group Tax Competence Centre with c.30 staff based in Asia, US, UK, Switzerland and offshore in Poland, to provide ongoing operational monitoring, oversight and reporting.

Worked closely with Group Tax to implement new policy, liaising with key stakeholders across business.  

Delivered comprehensive training on new process and framework to Risk Controllers across each business area (c.200 people).

 

To find out more about how we can help, get in touch with us at info@hierbarcilla.com