Giulia Bertolini

Background

About Giulia Bertolini

A Risk Professional with extensive experience in regulatory compliance, currently at Lloyds Bank Corporate Markets Ltd. In previous roles, I provided assurance services, led audit and non-audit reviews for EY’s external clients, deploying expertise to deliver appropriate auditing solutions to clients at EY, RBS and KPMG. I combine regulatory expertise, technical ACCA skills and commercial acumen to help businesses meet their strategic objectives by developing their financial management capabilities, improving their controls and managing risk. An overview of my career contains the following highlights:*As a Business Risk Senior Manager at Lloyds Bank Corporate Markets ltd, I lead the Regulatory Compliance team focusing on non-financial risk and in particular Conduct Risk. Areas of responsibilities include conduct risk management across the regulated entity and adherence to the 5 FCA Conduct Questions framework, Conflicts of Interest management and SM & CR and MRT compliance.*As a Senior Manager at EY; one year secondment in the Business Unit Control Function of a newly created Non-Ring-Fenced Bank (within a Tier 1 UK banking group) as leader for the “SMCR & Regulatory Development” team. I led EY advisory team in a high-profile remediation project at a top Tier 1 UK retail bank related to Conduct Risk; developed the customers’ redress methodology, engaged with senior stakeholders in the programme, chaired key panels and managed internal teams. I led the UK Swap Dealer Compliance Remediation review for an international Tier 1 Investment Bank. This involved reviewing the existing governance framework, policies and processes against the appropriate regulations. Led the UK FINMA mandated Collateral audit for a global Tier 1 Investment Bank; engaged with stakeholders, analysed the design and effectiveness of processes and controls around collateral management and recommended changes to reduce inefficiencies and risks.*As a Senior Audit Manager at RBS I managed relationships with key stakeholders and senior executives for Markets, International Banking and Non-Core divisions across the Group. I helped finalize the annual audit plan for Finance and Treasury and worked with internal audit teams across RBS to monitor audit coverage, communicate centrally owned issues and assess locally raised findings.*Whilst working as Senior Audit Manager at KPMG, I directed global audit teams reviewing the multi-jurisdictional investment banking operations of one of the world’s largest banking and financial services organisations.