Arturo Garcia de Las Heras
Global Head Investment Bank Controls Assurance and Global Assurance Services Lead @Barclays
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WORK HISTORY
Global Head Investment Bank Controls Assurance and Global Assurance Services Lead @Barclays
Reporting to the Global Head of Control Assurance Services, my responsibilities are:1) Global Assurance Services Lead:· Coordinate the Annual Planning Cycle for Controls Assurance.· Review Controls Assurance KPIs intra month and respond to adverse trends in Service Delivery.· Own the Methodology. Coordinate the annual review and refresh.· Report on progress of Controls Assurance Plan to all required management fora.· Coordinate development of Controls Testing Tool & agenda for Control Assurance Service.2) Global Head of Controls Assurance for Investment Banking (Global Markets, Banking and Research) and Office of Legal Obligations (Bank wide):· Coordinate the annual planning process with Portfolio Leads, including any discussions needed with key stakeholders.· Monitor the delivery of the plan. If required, schedule periodic meetings with Portfolio Leads, to review the KPIs and SLA for my areas of responsibility and respond to adverse trends.· Participate in review scope planning (e.g. Brainstorming Session) to aid the identification of the scope, challenge assurance staff to focus those material risks facing the business.· Review any major reportable issues, draft reports, and final reports.· Review Quarterly updates provided by Controls Assurance to Control Committees / Fora· Review and approve any Cancelations, Additions & reviews moved to following year.· Quarterly updates to Control Fora Committees and ensure submissions are accurate, including changes to plan and key highlights.· Oversee periodic stakeholder engagement including Business Managers / Op Rigor / CBP / 2/3 LoD, as relevant.
EDUCATION
New York TechnoDyne University
CISA, Certified Information Systems Auditor
Centro de Estudios Técnicos Empresariales
Degree, Tax Law and Fiscal Advising
Universidad CEU Luis Vives
Bachelor, Economic Sciences
SKILLS
ABOUT ARTURO GARCIA DE LAS HERAS
My core experience, developed since 1997 (25 years plus) in the Finance Industry, is around the following areas: Compliance Monitoring and Testing, Risk Control/Risk Reviews (Operational and Regulatory), and Internal Audit.I have multinational experience not only dealing directly with up to eighteen countries in EMEA, considering their different local regulations and corporative policies to ensure compliance with all regulatory standards, setting the framework to detect and minimize operational and regulatory risk (controls, tests and reporting), but also owning and coordinating reviews at global level involving teams based in all regions (APAC, LATAM, US and EMEA)- Retail / Consumer Banking: Citigroup and E&Y- Asset Management / Custody: Northern Trust- Investment Banking / Wealth Management / Asset Management: UBS- Wholesale / Asset Management: Wells Fargo- Corporate and Investment Banking: Deutsche Bank and BarclaysHighly experienced in setting up and running new departments (E&Y, Citi, UBS and Wells Fargo) Direct reports: up to 30 employees (+MSPs).Available for relocation and traveling.Certified Information Systems Auditor (CISA), preparing the CIA.Specialties: Banking Internal Audit/Controls, Risk (operational and regulatory) and Compliance (advisory, monitoring and testing)
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