Thomas Lee

Principal Associate - Finance Risk @Capital One

Nottingham, GB

Reporting directly to the Head of UK Finance Risk Management (Based in VA, United States), responsible for maintaining process excellence across UK Finance by ensuring robust risk management and governance practices are in place.Key Responsibilities / Experience- Chair, set agenda, and create reporting pack for the monthly Finance Risk Oversight Governance (FROG) meeting with the UK CFO and Finance Leadership Team- Primary risk advisor for the UK Accounting, FP & A and International Tax Team. Covered this role for Treasury, Capital Management and T&E in 23/24- Conduct comprehensive end-to-end Process Level Assessments for all critical and majority of non-critical processes in UK Finance, as well as the UK Finance aspect of the RCSA- Managed and enhanced the UK Finance business continuity plans for Accounting, Financial Operations, FP & A and Tax- Provide both support and challenge on risk and control documentation, ensuring alignment with internal standards and industry best practices- Drafting and managing the annual risk calendar, which includes coordination of the annual control testing plan, process assessments and other risk-related activities- Issue & Event management Problem Manager, ensuring weaknesses, gaps and breakdowns are appropriately identified, escalated and remediated in a timely manner. This includes providing independent challenge and leading or contributing to remediation efforts to facilitate risk mitigation- Providing training to colleagues and business partners in the UK & US, from Coordinator to Director.Key Achievements- Recipient of the “Capital One UK - Finance Leadership Team Award” and the “Capital One US - Finance Risk Management Ambassador Award” in recognition of my work and exemplifying the Company’s values- Led a successful overhaul of the UK FROG, introducing enhanced horizon scanning, development of KPIs, and other risk and control metrics to drive meaningful conversations and informed decision making.

ICAEW

ACA & BFP, Accounting and Audit

Trent College

A-level, Government & Politics, Business Studies, History

Henley Business School

BA Accounting and Business