Tobias Smith
Non-financial Risk - Front Office Risk & Trading Supervision - Programme Manager @HSBC
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WORK HISTORY
Non-financial Risk - Front Office Risk & Trading Supervision - Programme Manager @HSBC
London, GB
Global cross-asset programme to enhance the Front Office Controls Framework through systems transformation. A new \'one-stop-shop\' supervision system replaces all pre-existing systems, workflows and reports across trading controls (amended trades, late trades, dummy counterparty trades, extended settlement, unconfirmed trades, market risk limits, P&L estimates) and employee conduct controls. The cloud-based system consolidates controls with a redesigned UI, data analytics, task workflow, MI outputs and data aggregation to detect emerging risk scenarios — integrating with all primary trading systems, data stores, post-trade applications and reference data sources globally.• Lead engagement with all asset class Trading Desk Heads, COOs, NFR, Reg Compliance, Audit, IT, Middle Office & Ops Heads• Define the multi-year delivery pipeline and IT development sprint priorities (covering c. 80 IT and Change resources)• Established Steering Committee, manage dependencies and budget (including upstream system allocations), whilst representing Front Office Supervision and the product at Front Office and Executive stakeholder and governance forums• Produce impact assessments, compliance analysis and evidence to demonstrate regulatory adherence and address Audit actions• Designed a repeatable methodology to define trading control detection logic and false-positive exclusion rules at trade data level across all products, in all trading systems - enabling automation of manual review and data cleaning ahead of Supervisory review• Developed a scenario-based detection capability combining controls and outlier detection to proactively surface potential unauthorised trading events
EDUCATION
University of Nottingham
2:1, Economics
Merchant Taylors' School
A Levels & GCSEs, Various
SKILLS
ABOUT TOBIAS SMITH
Over 20 years I have worked directly in fixed income and credit, prime finance and equities roles, as well as delivered complex programmes for Banks, Asset Managers and Wealth Managers. I have subject matter expertise across financial markets products — notably credit, fixed income and equities — and fund and securities services, covering the full transaction lifecycle and functions that support it (non-financial risk, regulatory compliance, financial crime compliance, IT and finance).My career began in front, middle and back office roles at investment banks, spanning Operations, Middle Office, Trading Assistant and Sales Desk positions. I subsequently transitioned to management consulting at Grant Thornton, where I was a founding member of its consulting practice with direct responsibility for operational improvement, business development, people development and recruitment. I was retained by the firm\'s most significant clients — including HSBC, Barclays and JP Morgan Asset Management — across long-running and consecutive engagements, working in increasingly senior roles with exposure to C-suite and regulatory (FCA/PRA) stakeholders. More recently I have worked as a senior contractor in Director-level project and business roles.My core strengths lie in target operating model definition, process redesign and cross-asset change delivery. I can leverage cross-product, cross-functional and cross-sector experience to translate complex issues and proposals into clear, actionable outputs for varied audiences — whether senior management, support functions, regulators, IT or my own team. I bring strong problem solving, critical thinking, project management (agile, waterfall and hybrid), business analysis and people management skills. I have consistently demonstrated the ability to operate effectively across organisations of different sizes and cultures. I also have a proven ability to rapidly assimilate new subjects, with the breadth of my project experience demonstrating both this and the transferability of my skillset.
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