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Tomas Hazleton

Chief Risk Officer

Chief Risk & Compliance Officer and MLRO-UK at N26

London, United Kingdom

Section title

Tomas Hazleton's Work Experience

C. Hoare & Co.

Chief Risk Officer

May 2014 to Present

London, United Kingdom

Threadneedle Investments

Head of Corporate & Operational Risk (Contract role)

July 2013 to April 2014

London, United Kingdom


Head of Risk

June 2012 to July 2013

London, United Kingdom

Tomas Hazleton's Education

Columbia University - Columbia Business School

MBA Finance and Accounting

1989 to 1991

Rutgers University-New Brunswick

BA Economics and Spanish

1984 to 1989

About Tomas Hazleton's Current Company

C. Hoare & Co.

-Member of Executive Group (ExCo) -Responsible for: Risk Management, Compliance, Anti-Money Laundering, Data Protection, Insurance.

About Tomas Hazleton

📖 Summary

Seasoned risk management and regulatory compliance professional with broad senior management experience at premier global organizations. Knowledge and experience with SEC, UK PRA/FCA, MiFID, CRD, Basel, ICAAP, ILAA, Solvency II, UCITS, AIFMD & other regulatory regimes.Chief Risk Officer @ -Member of Executive Group (ExCo) -Responsible for: Risk Management, Compliance, Anti-Money Laundering, Data Protection, Insurance. From May 2014 to Present (1 year 8 months) London, United KingdomHead of Corporate & Operational Risk (Contract role) @ -Recruited to redesign Operational Risk Management function compliant with FCA Risk Mitigation Programme. -Responsible for development and implementation of firm’s Enterprise Risk Management Framework and ICAAP. -Complete redesign of Risk & Control Self-Assessment (RCSA), Errors & Losses (REVs), Key Risk Indicator (KRI) and Risk Reporting processes under extremely short time-frame in compliance with regulatory requirements. -Significantly enhanced firm’s approach to preparing its ICAAP and Pillar 3 Disclosure documents. -Member of UK Investment Management Association (IMA) Risk and Regulation Committee. -Member of UK Investment Management Association (IMA) Prudential Risk Advisory Group (capital regulations). From July 2013 to April 2014 (10 months) London, United KingdomHead of Risk @ -Head of Risk and member of the Boards of Directors of the four companies comprising GAM's UK Group. -Approved by UK Financial Services Authority (FSA) for CF1-Director and CF28-Systems & Controls functions (TJH01136). -Responsible for development and implementation of the firm's risk management framework. -Coordinate UK Group's annual ICAAP process and publication of Pillar 3 Disclosure. -Frequent speaker at global risk management and compliance conferences. -Moderator, Managing Capital Requirements for Investment Firms (Infoline), Feb 27-28, 2013 From June 2012 to July 2013 (1 year 2 months) London, United KingdomEMEA Director of Risk Management-Global Wealth and Investment Management (GWIM) @ -Recruited to build de novo independent Risk Management function for EMEA global wealth management group. -Member of GWIM EMEA Executive Committee comprised of all local heads of functions. -Direct report to GWIM’s global CRO with additional reporting to Head of GWIM EMEA & the EMEA CRO. -Country Risk Officer and member of Country Leadership Teams (CLTs) for Luxembourg and Monaco. -Responsible for all local risk oversight including: Investment, Market, Credit/Counterparty, & Operational Risk. -Member of global/local Risk & Control committees and global/local Product Risk committees. -Member of UK Retail Distribution Review Steering Group and Sales Practices (Suitability) Steering Group. -Member of UK Investment Management Association (IMA) Operational Risk Working Group. -Frequent speaker at global risk management and compliance conferences From January 2011 to September 2011 (9 months) London, United KingdomSVP & Director of Risk Management-Europe @ -Recruited to build de novo independent Risk Management function for rapidly growing UK/European subsidiaries: AllianceBernstein Ltd. (Buyside), Sanford C. Bernstein Ltd. (Sellside), AllianceBernstein (Luxembourg) S.A. -Member of UK Management Committee comprised of all local heads of functions representing Risk Management. -Direct report to global Chief Risk Officer with additional reporting lines to UK CEO & UK Board. -Standing invitee to all UK Board meetings advising on Risk Management issues and providing challenge function. -Chairman of UK Risk & Controls Oversight Committee (Board committee for Risk, Compliance & Audit issues). -Global Member of Operational Risk, New Products & Initiatives, and Credit & Counterparty Risk Committees. -Responsible for all local risk oversight including: Investment, Market, Credit/Counterparty, & Operational Risk. -Developed and implemented global and local risk policies and processes across all risk categories. -Developed the firm’s first Operational Risk Management Framework and first Operational Risk training program. -Implemented Capital (ICAAP) and Liquidity Risk systems and controls, including scenario and stress testing. -Managed five Risk Managers across three businesses in the UK and Europe (primarily Luxembourg). -Approved Person by UK Financial Services Authority (FSA) for CF28 Systems & Controls function (TJH01136). -Successfully guided firm through several FSA ARROW examinations culminating in above peer group assessment. -Member of UK Investment Management Association (IMA) Investment Risk & Operational Risk working groups. -Member of London-based Fund Management Risk Forum and formerly NY-based Buyside Risk Managers Forum. From March 2006 to January 2011 (4 years 11 months) London, United KingdomDirector of Enterprise Risk Management @ -Chairman of Risk Committee comprised of CEO, Chief Investment Officer, CFO and Head of Operations. -Analyzed Risk for Equities, Fixed Income, Derivatives, Hedge Funds, Private Equity & Real Estate portfolios. -Reviewed Investment Manager performance, risk and compliance; monitor trade errors & best execution. -Evaluated counterparties, negotiated ISDAs, established limits, monitored exposure & managed collateral. -Implemented Best Practices, evaluated & mitigated Operational Risk, developed/tested Business Continuity Plans. From March 2005 to February 2006 (1 year) Greater New York City AreaVice-President, Strategy @ -Coordinated DTCC’s annual $700M budget planning process and the $100M IT project prioritization process. -Harmonized accounting transparency, measurements, systems & controls across the recently merged subsidiaries. -Revised P&L structures and cost allocation methodologies; evaluated business and product performance. -Developed comprehensive financial models to support forecasting, scenario analysis and product re-pricing. -Evaluated new business plans for Clearance & Settlement, Derivatives, Global Corporate Actions & Insurance. From February 2001 to September 2004 (3 years 8 months) Greater New York City AreaVice President, Risk Management @ VICE-PRESIDENT, STRATEGY: 1999-2001 -Seconded to the London-based International Retail Brokerage Project to build the strategic plan and financial business models for the European & Asian expansion of Smith Barney’s and Citibank’s brokerage services. -Global Project Manager for the Global Financial Needs Analysis (FNA) product—a multi-lingual, multi-currency desktop application that develops personalized investment plans & fund recommendations for affluent customers. VICE-PRESIDENT, GLOBAL RISK MANAGEMENT: 1996-1999 -Managed Citigroup’s comprehensive corporate risk management process and advised the corporate risk committee comprised of Citigroup’s Chairman, Vice-Chairmen, CFO, Head of Credit Policy, and executive officers. -Prepared quarterly reports of Citigroup’s risks, including: market, portfolio, credit, liquidity, price (VAR/EAR), macro, political, currency, cross-border, legal/regulatory, systems/technology and audit/compliance/controls. -Conducted scenario analyses, stress-testing and portfolio analyses of Emerging Markets that mitigated Citigroup’s losses during the Asian, Russian and Brazilian currency crises and the failure of Long Term Capital Management. -Author: “Risky Business-Analyzing the Ups and Downs of Global Risk Management,” Columbia Business School-Fall 1999 VICE-PRESIDENT & HEAD OF STRATEGY (EBS FX TRADING SYSTEM): 1991-1996 -Developed the strategy, business plans and financial models leading to the 1993 launch of the EBS foreign exchange trading system—which remains the world’s leading inter-bank electronic FX trading system. -Created the valuation models & road show presentations supporting the 1996 sale of EBS for $200 million profit. STRATEGIC PLANNING INTERN, CHAIRMAN’S STAFF (JOHN S. REED): SUMMER 1990 -Developed the original strategic plan and financial models used to approve Citigroup’s participation as a founding member of The EBS Partnership and Citicorp’s role as the exclusive developer and service provider for EBS. From June 1989 to January 2001 (11 years 8 months) Greater New York City AreaMBA, Finance and Accounting @ Columbia University - Columbia Business School From 1989 to 1991 BA, Economics and Spanish @ Rutgers University-New Brunswick From 1984 to 1989 Tomas Hazleton is skilled in: Asset Management, Risk Management, Operational Risk, Strategic Planning, Corporate Governance, Financial Regulation, Compliance, Enterprise Risk Management, Operational Risk Management, Risk, Counterparty Risk, Solvency II, Basel II, Market Risk, Credit Risk

Tomas Hazleton’s Personal Email Address, Business Email, and Phone Number

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Frequently Asked Questions about Tomas Hazleton

What company does Tomas Hazleton work for?

Tomas Hazleton works for C. Hoare & Co.

What is Tomas Hazleton's role at C. Hoare & Co.?

Tomas Hazleton is Chief Risk Officer

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What is Tomas Hazleton's business email address?

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What is Tomas Hazleton's Phone Number?

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What industry does Tomas Hazleton work in?

Tomas Hazleton works in the Banking industry.

Who are Tomas Hazleton's colleagues?

Tomas Hazleton's colleagues are Simon Collins, Lawrie Houghton, Lloyd Mercer, Francesca Shaw, steven cooper, Paul McMillan, and Mike Routh

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In a nutshell

Tomas Hazleton's Personality Type

Extraversion (E), Intuition (N), Feeling (F), Judging (J)

Average Tenure

3 year(s), 2 month(s)

Tomas Hazleton's Willingness to Change Jobs



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