Douglas Barton
Managing Director Head of Audit Retail Banking and Wealth Hsbc Uk @香港匯豐銀行
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WORK HISTORY
Managing Director Head of Audit Retail Banking and Wealth Hsbc Uk @香港匯豐銀行
Birmingham, GB
EDUCATION
Edinburgh Napier University
BA, Financial Services Management
Saïd Business School, University of Oxford
Sustainability Studies
Chartered Insurance Institute
FPFS, Chartered Financial Planner
Association of Certified Anti-Money Laundering Specialists
CAMS, CGSS, CCAS, AML / CTF
The Institute Of Internal Auditors
Certified Internal Auditor, CIA; Certified Financial Services Auditor, CFSA
Edinburgh Business School, Heriot-Watt University
Master of Business Administration - MBA, Banking, Corporate, Finance, and Securities Law
SKILLS
ABOUT DOUGLAS BARTON
Highly motivated professional with over 20 years’ experience in Banking and Wealth Management, Regulatory Compliance, Audit and Enterprise Risk Management. Key strengths include leading, planning and executing complex regulatory oversight engagements covering retail and wholesale banking, capital markets and securities. Specialist experience in areas including Conduct and Customer Remediation, MiFID II (including trading and best execution), CASS, Trade Surveillance, Whistleblowing oversight and control enhancement programmes. Expert in regulatory principles, requirements and expectations through interaction with both the FCA and Professional bodies. Proven leadership, change management and analytical ability with excellent stakeholder management and communication skills. Regulatory technical author and exam writer across multiple disciplines and jurisdictions.
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