David Kempthorne
Director - Control Assessment and Testing Lead for Banking & International @Citi
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WORK HISTORY
Director - Control Assessment and Testing Lead for Banking & International @Citi
London, GB
In my new role, I am responsible for creating and leading a first line team responsible for assessing the adequacy and effectiveness of controls within the Banking & International.
EDUCATION
University of Otago
Bachelor of Arts (BA) (Hons), Political Studies
University of Otago
MA with Distinction, Political Science
University of Waterloo
Doctor of Philosophy (PhD), Global Governance
SKILLS
ABOUT DAVID KEMPTHORNE
An experienced risk and controls professional that is currently leading Citi’s Global Control Testing Utility (CTU) for Banking & International (B&I) and Citi’s Country CTU function in data-restricted countries. In this role, I lead a large team to execute control design assessments (CDAs) and operational effectiveness monitoring and testing as part of Citi’s operational risk management framework. I also provide value added strategic advice on the design and operating effectiveness of B&I’s controls across 93 jurisdictions. Finally, I lead Citi’s Country Monitoring and Oversight Forum and engagement with non-US regulators in relation to Citi’s monitoring and testing activities. I have broad experience through previous roles in for the UK Chief Country Compliance Function at Citibank, providing consulting advice and strategic project management on LIBOr transition for multiple GSIBs at Deloitte and 3.5 years working in Wholesale Conduct Policy. I bring unique technical expertise matched with practical risk and controls experience across a range of subject areas including, but not limited to, domestic and cross-border firm licensing, accountability regimes, remote booking, and a broad range of conduct risk topics, including UK Consumer Duty. I thrive in Global roles where I am able to leverage my in-depth knowledge of international financial regulation and the political drivers of common and divergent regulatory requirements across a diverse array of national and regional regulatory jurisdictions. Through a unique mix of technical knowledge obtained through my PHD and practical experience in diverse risk and controls roles, I provide value-added, strategic advice to support firm’s compliance with laws, rules and regulations across multiple products, business lines and functions.
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