Wayne Stephenson

Background

About Wayne Stephenson

I am an accomplished professional and senior leader with extensive Control Management and Financial Services experience. Throughout my career as both an individual contributor and manager, I have supported financial reporting, compliance, middle office, and trading desk operations. Peers respect my ability to shape departmental strategy, as well as provide hands-on leadership, coaching, and guidance to cross-functional teams throughout implementation and adoption. • Oversee the firm’s Legal and Regulatory Change Management requirements for the CIB Markets & Investor Services (M & IS) Operations. • Subject Matter Expert (SME) for the Office of Legal Obligation team across NAMR, EMEA, LATAM and APAC • Supported the Key Risk Indicator (KRIs) development process for Markets business high inherent risk. • Developed and managed reporting (e.g. metrics, dashboard) to improve visibility and facilitate escalation to operational obligation owners and senior management. • Worked closely with the business stakeholders to identify, assess and mitigate Operational Risks. • Exceeded and/or met compliance requirements by implement new Standard Operating Procedures within the regulatory guidelines and implementing EDD (Enhanced Due Diligence) procedures.