James Bateman

Partner @EY

London, GB

Partner in EY London’s Banking and Capital Markets Assurance group with over 25 years’ experience of auditing and advising investment banking and capital markets clients in both London and New York. My role encompasses both financial audit and Extended Assurance.Extended Assurance provides assurance that an organisation’s business activities are operating effectively, through the appropriate use of assurance skills, robust audit and other methodologies coupled with Banking Capital Markets insight. In doing so, we work with management and internal audit departments to optimise the assurance coverage across organisations, with the objective of satisfying the audit committee that significant risk areas within their organisation (e.g. around unauthorised trading, prudential reporting and FATCA) have been adequately addressed, and suitable controls exist to mitigate and reduce these risks.Recent projects include:(i) The annual regulatory audit of a major investment bank encompassing a wide-range of different aspects including credit, market and operational risks.(ii) The processes and controls in place to prevent unauthorised The processes and controls in place to provide accurate assessments of interest rate benchmarks and oil prices.(iv) The processes and controls supporting prudential capital and liquidity reporting to the UK and European regulators (including COREP).(v) Coordinated global banking audits with operations across a wide range of different geographies and regulatory environments.(vi) Auditing a wide variety of technical Investment Banking product areas.(vii) Due diligence workstreams reviewing regulatory capital models and limitations in loan underwriting on a major retail bank. This included reporting on specific risks around lending decisions and reviewing credit worthiness on loan and derivative Transaction experience including due diligence and reporting accountant roles for IPOs

University of Bristol

Mathematics, Mathematics