Christine Lawson

• Deliver strategic direction, business advice, and training/awareness to manage complex activities
  and keep abreast of developments across all RoA global markets operations and different markets/regulatory regimes, including SBG Securities.
• Lead implementation of appropriate frameworks and standards/processes for risk management to
  drive the execution of the compliance plan for a business unit across all regions/jurisdictions.
• Develop a high performing team by embedding bank's performance process, regular performance
  feedback, and coaching.

Achievements:

• The development of the Market abuse surveillance team within GM Compliance (ecommunication and trade surveillance)
• Drafting of Global Markets specific policies covering FMA ODP.
• Regulatory Disclosure Reporting framework and automation thereof.

• Established a fully compliant environment by efficiently managing risks and following established regulations.
• Acted as an advisor role to the global markets division, managing multiple desks, including commodities, stockbroking, credit trading, interest rates, structured solutions FX, and MM Sales.
• Facilitated implementation of policies, processes, systems and controls identified and recommended in terms of monitoring findings.
• Managed overall aspects related to the global markets (such as surveillance issues, trader registrations and de-registrations) inline with regulatory requirements.

• Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
• Managed practical action plans to respond to audit issues raised and compliance violations.
• Maintained up-to-date knowledge of current and emerging compliance regulations.
• Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.
• Prepared and submitted regulatory filings in timely manner.
• Collaborated with internal and external stakeholders, auditors and legal counsel to confirm compliance with applicable laws and regulations.

• Risk identification through brainstorming, questionnaires, risk assessment workshops and ad-hoc audits.
• Risk reporting internally and externally on a weekly, monthly and quarterly basis.
• Risk monitoring, review of the risk management process.
• Advisory partner to business in terms of providing compliance and risk advice.

• Demonstrated a high level of initiative and creativity while tackling difficult tasks.
• Worked well in a team setting, providing support and guidance.
• Passionate about learning and committed to continual improvement.

• Collaborated with stakeholders to integrate compliance requirements into business processes, supporting seamless operations while mitigating risks.
• Informed executive leadership on emerging regulatory trends and their potential impact on business strategies, facilitating agile decision-making in response to evolving conditions.
• Oversaw investigations into potential violations of laws or company policies, taking decisive action as necessary to protect the organization''s interests.
• Strengthened internal controls by conducting regular reviews and updating standard operating procedures as needed, promoting consistency in compliance practices across all departments.
• Established a culture of compliance through regular training sessions and effective communication strategies.