Snapshot of notable risk themes, moves
and appointments
September 2016
For the latest EMEA, Americas and
Asia Pacific moves across:

Asset Management

Central Counterparties

Global Banking Groups

Insurance

Retail Financial Services

Wealth Management
Snapshot of notable risk themes, moves and appointments
Page 1 / 3
Next update due: January 2017
Market Trends
People Moves
 Several asset managers and non-FS firms are
Global Banking Groups
investing in talent able to strengthen their
control environment and implement a more
robust three lines of defence model, akin to
those that have been adopted by the banks.
 Challenger banks and more established fin-
tech platforms are targeting senior risk
professionals from banks with ERM experience
who can help develop frameworks to identify
and manage risk in different lines of business
more holistically.
 Non-financial risk talent remains the key
demand area in financial services firms as
concerns around culture and a myriad of risks
spanning operational, legal, conduct,
regulatory, model and IT risks remain
paramount.
 The evolving technology and data analytics
landscape continues to pose major
challenges around data governance. In
insurance and retail banking sectors in
particular, data and ‘digital risk’ talent is in
high demand.
Kevin Corbally has been appointed by ANZ as
Group General Manager, Internal Audit. He
replaces Michael Liarakos, who became the
Group's Chief Compliance Officer in June.
David Thwaites has moved internally within
Barclays, from Head of Fraud into the Chief
Controls Office.
Elisabeth Sandler, who left her role as COO for risk
at Deutsche Bank to re-locate back to New York,
has joined the Blackstone Group. Betsy Konvalinka
has replaced Sandler at Deutsche Bank.
Ivan Pooran, former Head of Operational Risk for
GE Capital Americas has joined Santander Bank
USA as the Chief Operational Risk Officer.
Diony Lebot is appointed group CRO at Société
Générale. She was promoted from Deputy CRO
having previously been CEO for the Americas.
Christian Hunt, Group Head of Compliance and
Operational Risk for UBS Asset Management takes
on the role of EMEA Head of Compliance and
Operational Risk Control in addition to his current
responsibilities. Christian stepped into the role in
July.
Sophie Dupre, formerly of Barings, Schroders and
Mike Quinn, former Senior Consultant at GE Capital Citi, joins UBS as Head of Compliance and
joins BNP Paribas Leasing Solutions as Head of Risk. Operational Risk Control.
Thomas Herrmann, has been appointed CRO for
Credit Suisse’s Wealth Management division. He
was formerly Chief Credit Officer EMEA and is
relocating to Zurich to take on the role.
Balbir Bakhshi joins Deutsche Bank as Group Head
of Non-financial Risk. He joins from Credit Suisse
where he held the role of Group Head of
Operational Risk Management. He will join the
bank in January 2017.
Kevin Oden, Chief Market Risk Officer at Wells
Fargo, has been appointed Global Head of
Compliance and Operational Risk.
Claudia Russ Anderson, CRO for the Community
Banking division at Wells Fargo, has taken six-month
unpaid leave from the company. She has been
replaced internally by Vic Albrecht, formerly Chief
Credit Officer for Wealth and Retirement.
Reinout van Riel, former Chief Portfolio Officer at
Propertize has been appointed CRO at NIBC. He
replaces Petra van Hoeken who is leaving to join
Rabobank as CRO.
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Snapshot of notable risk themes, moves and appointments
Page 2 / 3
Next update due: January 2017
Wealth and Asset Management
Audrey McNair leaves Aberdeen Asset
Management and her role as Global Head of
Business Risk, stepping into several non-executive
director roles.
Philippe d'Orgeval, CRO at AXA Investment
Managers, is appointed Head of AXA IM UK,
Elise Golden has joined First State Investments as
Senior Manager, EMEA Risk and Compliance. Elsie
joins from Blackrock, where she held the role of
Head of Business Model for iShares EMEA.
Emma Vernon has moved internally at Kleinwort
Benson. She was previously Head of Strategic Risk
Projects, and has now been appointed Head of
Financial Risk.
Retail Financial Services and
Insurance
Klaas Van Wyk De Vries has become a Senior
Amir Firdaus has left Sainsbury’s Bank where he was Director / Senior Partner at Fair Isaac Advisors.
Head of Liquidity and Market Risk, and has joined
Previously he was at Tesco Bank as Risk Director.
Al Rayan Bank as Treasurer.
Ryan A. Zanin, formerly CRO of GE Capital and
Keith Jackson has joined Aon as CRO.
currently CEO of the Restructuring, Strategic
Ventures and Insurance Group, has been elected
Annie Tay has been appointed as AXA’s APAC
CRO. She reports directly to Jean-Louis Laurent Josi, to join the Fannie Mae Board of Directors.
regional CEO of AXA Asia and AXA Group’s CRO
Alban De Nesle Mailly. Annie joins from Cubic Risk
Solutions where she was the CEO and Founder of
the Risk and Actuarial Management Consulting
Firm.
Cathy Hampson joins Celaris as MD; Head of the
risk practice, from AIG where she held the role of
Barry Schachter, former Moore Capital CRO, joined Director, Governance, Data, Reporting and
Light Sky Macro as CRO, having also formerly held Analytics.
similar roles with Caxton Associates, Balyasny and
David Kindred has joined start-up bank Civilised as
SAC.
Interim CRO, leaving Tesco Bank where he was
Interim Financial Risk Director.
Nas Islam joins M&G Investments as Head of
Investment Risk, from Henderson Global Investors
Scott Munro has moved internally within CYBG, from
where he was Head of Investment Oversight.
Strategy Execution Director to a new role as Head
of Operational Risk.
Ian Wright, former Senior Vice President at SunLife
has been appointed as CRO at Old Mutual
Julia Cattanach has joined Experian as CRO and
Wealth.
Deputy Global GC, moving from Tesco Bank where
she was Compliance, Conduct and Regulatory
Director.
Paul Blackmore has become Head of Operations
Assurance at Harrods Bank, joining from Metro Bank
where he was Head of Operational Risk.
Kevin Moffitt, former CRO at First Midwest Bancorp,
joins MB Financial Bank as CRO.
Julia Dunn is the new CRO at Nationwide, having
left her previous role as Chief Compliance Officer
at the company.
Matthew Kent has moved within Nationwide, from
his previous role as Head of Group Lending Risk, to
his current role as Head of Prudential Risk Oversight
– Lending.
Olly Reeves, former Head of Risk Management at
Lloyds of London will join
Neon as CRO.
Leathwaite: London | Zürich | Hong Kong | New York
Twitter @L3athwaite
www.leathwaite.com
Snapshot of notable risk themes, moves and appointments
Page 3 / 3
Next update due: January 2017
Susana Morato Grice, formerly of AMEX, joins
PayPal as Head of UK Risk Management.
Margon Lyons is appointed by Ulster Bank as their
CRO, joining from GE Financial Markets.
Munib Ali has left Santander UK, where he was
Compliance Director for Wholesale and Corporate
Banking, and is now an Advisor at Promontory.
Graeme Gaffney has moved internally at Virgin
Money, from Head of Operational Risk to Interim
Director for risk assurance and governance.
Iain Felstead joins Prudential on a permanent basis
as Operational Risk Senior Manager, following a
one-year secondment from M&G.
Central Counterparties
John Fennell has been promoted from EVP for
financial risk management (business risk) to CRO for
Laura Izurieta has been hired by Silicon Valley Bank
The Options Clearing Corporation (OCC). He
as CRO. Izurieta was previously CRO for Retail and
replaces John Grace, who has left the company.
Direct Banking at Capital One. She has more than
20 years’ experience in regulatory compliance and Dale Michaels, also at The OCC, replaces Fennell
as EVP for financial risk management. He joined the
risk management roles.
OCC in January, after a long career in risk
Dr. Usman Chaudry joins Tandem Bank as Head of
management at the CME Group.
Credit Risk and Enterprise Wide Risk Management
from Standard Chartered.
John Hunt has been appointed CRO (Retail) for
Together Money. He joins from Nationwide where
he was Head of Group Risk Oversight.
Brian Hardwick has joined Towergate as CRO, from
Chubb.
Iain Laing has been appointed CRO at TSB, joining
from Nationwide. He will take over the role from
Neeta Atkar.
Mo Romani, Chief Credit Officer for the corporate
banking business at Regions Bank, joins SunTrust as
Chief Credit Officer.
Spyro Karestsos, Head of ERM at Vanguard has left
to join SunTrust in a similar newly created role.
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business sectors, please visit:
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