John Philpott

Fm Compliance - Sec 10c-1a, Canada, Cftc, Sec, Sftr, Emir @Standard Chartered

London, GB

FM Advisory Compliance role partnering with FM Business, Regulatory Operations and Regulatory Technology to provide advisory services, analysis and impact assessment to the implementation teams covering SFTR transaction reporting, SEC SBSR Rule 901/902 security-based swap reporting, CFTC Rewrite Part 43/Part 45 swap reporting, Canada Rewrite derivative reporting and SEC Rule 10c-1a securities lending transaction reporting. Represent the Compliance function and SCB at internal and external working groups and provide thought leadership on the development of transaction reporting regulations globally. Review whether appropriate controls are in place and are effective and assist 1LOD Process Owners with the introduction of controls for any identified gaps. Develop an independent 2LOD monitoring and assurance framework for transaction reporting. Execution of 2LOD surveillance and issue management, liaising with senior stakeholders on issues identified and ensuring issues are resolved in a timely and collaborative manner. FM Advisory SME lead on many other rules and regulations including SEC SBSD Registration, CFTC NFA enquiries, EMIR REFIT and MiFID.

University of Bristol

B.Eng., Civil Engineering