Tomas Hazleton's Email Addresses & Phone Numbers

📖 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