Snapshot of notable compliance market themes, moves and appointments

October 2016

For the latest EMEA, Americas and Asia Pacific moves across:

 Buy Side

 Sell Side

 Regulators

 Retail Financial Services

Snapshot of notable compliance market themes, moves and appointments Page 1 / 3 Next update due: January 2017

Market Trends People Moves  Financial services firms continue to look Sell side Patricia Giangrande, Global Head of Financial Crime outside legal and compliance groups to Compliance for the CIB at JPMorgan, and Global Head Michael Liarakos, Chief Auditor at ANZ, has been of Compliance for Treasury Services and Trade Finance, source leadership talent capable of leading appointed Chief Compliance Officer. He replaces Mark joins Deutsche Bank as the Global Business Control and managing functions that have become Evans who has moved internally to lead Transaction Officer for Institutional Cash Management. more operational than ever. Banking services. Jonathan Cronk, Global Head of Compliance Monitoring Nick Child joins BNP Paribas as UK Head of Financial and Surveillance for the CIB at Société Générale, joins Markets and BP2S Compliance. Childs joins from Citi HSBC as Global Head of Regulatory Compliance  Many financial services firms have been where he was EMEA Head of Compliance for the Assurance. investing in compliance technology solutions Institutional Client Group. Colin Bell, Global Head of Compliance and Operational to enhance their surveillance, monitoring and John Davidson, Group Chief Compliance Officer at Citi, Risk Control at UBS, has been appointed Group Head of testing activities. As such, senior individuals is retiring. An internal and external search has been Global Standards Execution and Remediation at HSBC that are able to combine technology subject launched to identify a replacement. under Stuart Gulliver. Bell has been replaced by Jim matter expertise with a broader Oates, the Chief Auditor. Alison Clew and Denise Reilly are now Co-Heads of the understanding of the regulatory compliance Global AML function at Citi, which has been separated Hon Chan joins HSBC as APAC Head of Sanctions. He landscape are highly sought after. from compliance. Both Clew and Reilly will report into joins from Bank of America where he was the APAC Barbara Desoer, CEO of Citibank NA. Head of Economic Sanctions.

Peter Jackson has joined Clear Treasury, a boutique Steven Tarrant joins HSBC as APAC Head of AML, CTF and  Several global banks have continued to treasury and risk management company, as Head of Proliferation Finance. Tarrant was previously APAC Head combine non-advisory functions under one Compliance and MLRO. Jackson was previously an of Wealth Management AML at RBC. central compliance umbrella in an attempt to Independent Compliance Consultant. Ian Fisher has taken on additional responsibility at leverage common platforms, create synergies Stuart Wallace has been appointed MLRO at Close Investec Bank, becoming Head of Financial Crime and reduce cost. Brothers. Wallace was previously a Senior Financial Crime (MLRO), in addition to his role as Head of Compliance Manager at the company. Monitoring.

Steve Ditaranto joins Deutsche Bank as Global Head of  Financial crime continues to receive Surveillance. Ditaranto joins from Citi where he was

investment across a range of financial Global Head of Surveillance for the Institutional Client services firms but the demand for talent is now Group.

focused more on strategic, forward-looking Pamela Root, former CCO for the Institutional Client experts, rather than ex-regulators leading Group at Citi, joins Deutsche Bank as Group CCO. Root large remediation projects. replaces Nadine Faruque who has left the bank.

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Bhavesh Dattani, General Counsel, MEA at Nomura Miten Trivedi, EMEA Head of FICC Compliance at Bank of Co-Head of the Asset Management Unit within the Securities, joins JPMorgan as EMEA Head of Investor America, joins TD Securities as Head of Compliance for Enforcement Division. Services Compliance. Europe and Asia Pacific. Michael Timotheou, Head of Investment Compliance at Cicilia Wan, EMEA Head of HR Regulatory Affairs at Lisa Feld has moved internally at UBS into a Chief of Staff BlueBay Asset Management, has moved internally to JPMorgan, has been appointed EMEA Head of role supporting the Global Head of Compliance and lead the Global Compliance function. Employee Compliance. Operational Risk Control. Prior to this she was Global Anthony Epstein has been appointed Interim CCO for the Head of Investigations, Compliance and Operational Risk Amy Mahoney is appointed Regional Head of Institutional Business at Invesco Perpetual. Epstein joins Control. Compliance, Australia and New Zealand at Macquarie from Aviva Investors where he was Interim Head of UK following Paul Packham’s departure. Kevin Oden, Chief Market Risk Officer at Wells Fargo, Compliance. assumes a new management role, combining global Barry Hagan is appointed EMEA Head of Financial Crime Dave Fitzharris has joined Hermes Investment compliance and operational risk. at Macquarie. Hogan joins from Investec where he was Management as Head of Advisory Compliance. Fitzharris UK Head of Financial Crime. Jane Ibbotson joins Wells Fargo as EMEA Head of joins from Blackrock where he was Head of Compliance Compliance. She was previously Head of Compliance for Advisory for the EMEA Institutional Business. Penny Judd, EMEA Head of Compliance at Nomura, joins Commercial Banking at Lloyds. trading platform Plus500 as Non-Executive Director. Robyn Grew transitions into the role of Chief Mark Zingale joins Wells Fargo as Head of Regulatory Administrative Officer and GC at Man Group. Grew was Marco Mukherjee has replaced Sharon Campbell as Resolution. Zingale joins from RBS/Citizens where he was previously Global Head of Legal and Compliance. Director of Financial Crime and UK MLRO at Santander. Senior Regulatory Counsel. Mukherjee was previously Regulatory Change Portfolio Kevin Tolan has joined RWC Partners as Head of Director. Buy side Compliance. Tolan was previously the Head of Compliance at City of London Investment Management Adrian Quigley, former Head of Financial Crime and Andrew Fowler, Legal and Compliance Director at Company. MLRO at Virgin Money, has joined Santander as Head of Moneybox, joins Aviva Investors as EMEA Head of Financial Crime for Global Corporate Banking. Quigley Samir Patel, Head of Institutional Legal at Alliance Compliance and Regulatory Development. replaces Darren Piper, the Interim Head. Bernstein, joins State Street Global Advisors as UK Head of Jan-Willem Hermans, former member of the Supervisory Compliance. Fred Springer has been appointed CCO at Santander Board at Rabobank, joins APG Asset Management as USA. Springer joins from CIT Group where he was Global Hung Luc, CCO and MLRO EMEA and LatAm at Head of Compliance and Risk. Head of Compliance. Neuberger Berman, has joined Squarepoint Capital as Jon Feigelson is appointed GC and CCO at Artivest. CCO. Ian Fisher is appointed Head of the Culture and Conduct Feigelson joins from TIAA-CREF, where he most recently Programme at Société Générale. He retains his current David Oakton, Head of EMEA served as GC and Head of Regulatory Affairs, and role of Group Country Head for the UK and Head of the Compliance Advisory, Retail Director of Corporate Governance. Coverage and Investment Banking Division in the UK until and Fundamental Equity at the end of 2016. Marshall Sprung joins Blackstone as Global Head of Blackrock, has joined Compliance. Sprung joins from the SEC, where he was Vanguard in a compliance management role.

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Retail Financial Services Jason Costain has joined Williams & Glyn as Head of Financial Crime Operations. Costain joins from Co- How can Leathwaite assist? Lee Weiskott assumes responsibility for global regulatory Operative Bank where he was Head of Financial Crime relations at American Express. Weiskott replaces Adina Prevention. Leathwaite is the global human capital Brownstein, who has returned to Barclays to focus on consultancy for organisations that require Recovery and Resolution Planning for the Investment Regulators talent, expertise and leadership. Bank. Megan Butler, who was appointed temporary Head of Kimon De Ridder joins Aviva as UK Compliance Oversight Supervision at the Financial Conduct Authority last year, Executive Search Director. She joins from GE Capital International, where will take up the role permanently. Butler has been on he was the Chief Compliance and Regulatory Officer for secondment from the BoE, when she replaced Tracey Executive Interim Working Capital Solutions. McDermott as Head of Supervision. Management Consulting

Scott Essex is promoted to CCO at Citizens Financial Thomas Ott has been named Associate Director of Market Intelligence Group. Essex was previously Deputy CCO and Chief Enforcement at Financial Crimes Enforcement Network

Privacy Officer, and replaces Bob Nelson who is retiring. (FinCEN). Ott will oversee FinCEN’s enforcement of the Established offices in four key global financial Essex will report to Malcolm Griggs, Group CRO. Bank Secrecy Act and its compliance requirements. Ott centres: has been at FinCEN since 2014 in various capacities.

Paul Brandow is appointed Chief Administrative Officer at E*TRADE, overseeing AML, regulatory compliance, and Robert Cook is the new President and CEO of the London: +44 207 151 5151 HR. Brandow was previously Interim CRO. Financial Industry Regulatory Authority (FINRA). Cook joins FINRA from Cleary Gottlieb Steen & Hamilton LLP, Laura Rau-Morillo is named Director at Navigant, the Zürich: +41 44 214 6640 where he served as a Partner in the firm’s Washington, consulting firm. Rau-Morillo was previously VP of the DC office since June 2013. Hong Kong: +852 3152 2463 Global Compliance Office at MoneyGram International in Dallas. Maria Vullo is confirmed by the US Senate as New York: +1 646 461 9100 Superintendent of the New York State Department of Simon Brown joins Oakbrook Finance as Head of Financial services (DFS). Vullo has served as Acting Compliance, from Volkswagen Financial Services where Superintendent since February when she was nominated For a discussion on how the talent landscape he held the same role. by Governor Cuomo to lead the DFS. is changing within your sector, please call Vesna McCreery, formerly of the Exiger Group, joins RBS your regional Leathwaite office. as Global Head of Financial Crime.

Mark McFadyen joins Virgin Money as Head of Financial To view the latest people moves across other Crime Risk and MLRO. McFadyen was previously UK Head business sectors, please visit: of Fraud for the RBS Retail Business. www.leathwaite.com/leathwaite-reports

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Snapshot of notable Digital moves and appointments

September 2016

For the latest EMEA, Americas and Asia Pacific moves across:

 Digital

 Distribution

 Marketing

 Product

Snapshot of notable global Digital moves and appointments Page 1 / 3 Next update due: January 2017

People Moves FS EMEA Ewan Macleod joins Nordea as Co-Head of Digital Lamont Young is announced as Head of Digital at from RBS where he ran digital transformation. Citizens Bank. Young will also continue to manage Rob Divall joins Aldermore Bank as HR Director Former group CIO Nordea Poul Raaholt moves his existing responsibilities for multi-channel replacing Ali Humphries, reporting to CEO Phillip internally to join Ewan in co-leading the function. marketing. Young was also named to the Executive Monks. He joins from AdviserPlus where he was Committee for Citizens Consumer Bank. Louise Phelan of PayPal Ireland assumes Strategic and Client Development Director. responsibility for growing revenue and customers Melissa Stevens has been hired by Fifth Third Dean Proctor joins Barclays as MD, Global Clients in for PayPal in more than 100 countries, including Bancorp to the newly created position of Chief the premier and international business, reporting to Ireland, in her new role as VP of Western, Central Digital Officer and Head of Omni-channel Banking. Sue Hayes. He was EGM, Chief Consumer and and Eastern Europe, Ireland, Middle East and Stevens joins from Citi. Private Banking Officer at Commercial Bank in Africa. Anthony Glover is named by HSBC as Head of U.S. Qatar. Maeve Dorman, who joined PayPal in 2006, will Retail Banking. Glover previously worked at Mark Klein has been appointed by Ergo Group as take responsibility for many of Ms. Phelan’s recent JPMorgan Chase as Head of Corporate its new Chief Digital Officer for Ergo Digital responsibilities, including growing operations Development for merchant services. Ventures, the arm tasked with transforming the centres in Dublin, Dundalk and Berlin. Bill Wallace, the long-time JPMorgan Chase group’s business online. He joins Ergo, the primary Mark Parker has re-joined Virgin Money as COO veteran becomes Head of Technology for Global insurance arm of German reinsurer Munich Re. with responsibility for operations, technology and Consumer Banking. Stephan Wilcke former Executive Chairman of transformation. Mark joined again in June 2016. Shawn Rose joins Scotiabank in the newly created OneSavings Bank, has joined LendInvest, the UK’s Jeroen Hoencamp, the Vodafone UK CEO, steps position of EVP, Digital Banking. £660m online lender for property finance, as a down from the operator’s UK operations to Senior Adviser. Stephan’s financial services career become the new CEO of its proposed joint venture Non-FS Americas spans nearly 25 years and he was at OneSavings with Liberty Global in the Netherlands. He is to be Bank until it became the first challenger bank to Guido Jouret leaves Nokia to become the new replaced as UK boss by Vodafone Group Enterprise IPO in London in June 2014. Chief Digital Officer at ABB. CEO Nick Jeffery. Michael Hutko is the new CEO of Novum Bank Shaun Stewart joins Alphabet’s Google as a Limited, succeeding Michael Warrington who will FS Americas Director of the self-driving continue in his new capacity as Non-Executive car project, from Airbnb. Michael Lewis, former Consumer Businesses Digital Director of the Board with chairmanship Stewart’s role will be to help CTO at JPMorgan Chase, joins AIG, the largest responsibility for the Compliance Committee. commercialize Google’s commercial insurer in the U.S. and Canada, as its self-driving technology, new CTO. He will report to CIO Philip Fasano.

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Twitter @L3athwaite www.leathwaite.com Snapshot of notable global Digital moves and appointments Page 2 / 3 Next update due: January 2017 which has been in development for more than President, Nhlanhla Qwabe as the new Chief HR -oriented business model, which includes growing seven years and has seen an increased pace of Officer and Stephen van Coller as VP of Strategy the company’s digital platforms in the region, activity over the last 12 months. and Mergers and Acquisitions. exploring new partnerships, as well as digitising processes and operations. Alex Smola, a top machine learning Scientist at Martyn Wallace has been appointed Chief Digital Carnegie Mellon University and research alum of Officer and CTO for the Scottish Government by Maile Carnegie joins ANZ as Group Executive of Google and Yahoo, is moving over to run the cloud twenty-seven Scottish local authorities that have Digital Banking. She joins from Google where she machine learning platform at Amazon Web joined forces to help drive digital transformation. was Australia country CEO for the global tech Services. Wallace comes to the government from Capita’s giant. Secure Digital Solutions sector where he supported Jesse Goldman steps down as Senior Director of Frédéric Tardy becomes Chief Marketing, Digital, clients to make their businesses more digital- Customer Success at Salesforce.com to join Data and Customer Officer of AXA Asia, reporting centric. Influitive as VP of Customer Success. to Jean-Louis Laurent Josi, regional CEO of AXA Marco Ryan joins the Wartsila Corporation as EVP, Asia and based in Hong Kong. He also joins the Sree Sreenivasan is hired by NYC as its new Chief Chief Digital Officer and a member of the Board of Regional Executive Committee. Frédéric relocates Digital Officer after Jessica Singleton departs. Management. Marco was previously Chief Digital from Paris where he was Chief Marketing and Sreenivasan most recently served as the Chief Officer of Thomas Cook. Distribution Officer for the insurance group. Digital Officer at the Metropolitan Museum. Rajiv Garodia has been appointed as MD of Zapp Charlie O’Flaherty joins Crossbridge Capital as Andrew Dixon has been appointed VP Marketing and Head of International Business. Zapp is Head of Digital Strategy and Distribution. Based in of SAS Canada and Latin America. Vocalink's mobile payments arm. Singapore, his responsibilities include advising senior stakeholders of the latest technologies in order to Non-FS EMEA Jonathan Wood, previously of American Express, improve and enhance the service offerings in Asia. David Walmsley, former M&S Director of Digital, has has been hired by Zapp as Chief Commercial been named as Chief Customer Officer of House of Officer. Wood reports into Rajiv Garodia. Shee Tse Koon joins DBS from Standard Chartered Fraser following the departure of Andy Harding. where he was most recently CEO of Indonesia. He Asia Pacific has been appointed to the newly expanded role of Babak Fouladi, former CTO at Vodafone Spain, Gaurav Zutshi, formerly APAC Head of Product and Group Head of Strategy and Planning for the joins MTN as its new Group Executive: Technology Innovation at First Data, becomes Chief Digital Singaporean Bank. and Information Systems (group CTIO). Officer at Aditya Birla financial services. Anurag Mathur is named by Maxwell Takalani Nonge is appointed as MTN South Robin Loh has been appointed by Allianz as Chief HSBC as Head of its Retail Africa's new Chief Digital Officer. The operator has Digital Officer for Asia Pacific. He joins from China’s Banking and Wealth again notified the market of a new development in Ping An. He oversees Allianz Asia Pacific’s Management (RBWM) its management structure, weeks after the advancement toward a digitally-led and customer business in Singapore. announcements of Rob Shuter as group CEO and

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Mathur joined HSBC in 2009 and has held senior roles in the RBWM business, most recently as Head of How can Leathwaite assist? International Markets in Asia. Leathwaite is the global human capital Michelle Peluso, the former CEO of Gilt Groupe, has consultancy for organisations that require been hired by IBM as its VP and CMO. talent, expertise and leadership.

Anthony Stevens, former CIO at KPMG Australia, has moved to the newly-created role of Chief Digital Executive Search Officer, with responsibility for leading the firm's digital Executive Interim services team. His successor as KPMG Australia CIO is Technology and Operations Executive Craig Wishart. Management Consulting

Michael Serres, former BlackRock Head of Digital Market Intelligence Marketing, joins Manulife as Asia Head of Digital Development for Wealth and Asset Management. Established offices in four key global financial centres:

Julienne Loh has been appointed as APAC Head of Global Products and Marketing for MasterCard. In London: +44 207 151 5151 this role, she oversees the firm’s regional products and marketing including core products, digital Zürich: +41 44 214 6640 products and labs and marketing and Hong Kong: +852 3152 2463 communications.

Chris de Bruin, Global Head of Retail Products and New York: +1 646 461 9100

Digital will be departing from Standard Chartered. For a discussion on how the talent landscape Maria Sit has been named Chief Client Experience is changing within your sector, please call and Digital Officer of Sun Life Hong Kong reporting your regional Leathwaite office. into Jason Dehni, CEO of Sun Life Hong Kong. Sit joins

Sun Life from HeathWallace, an international digital design and marketing firm, where she founded the To view the latest people moves across other business sectors, please visit: user design business for Asia Pacific. Sit becomes

part of the Hong Kong executive team. www.leathwaite.com/leathwaite-reports

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Snapshot of notable global CFO moves and appointments

September 2016

For the latest EMEA, Americas and Asia Pacific moves across:

 Accounting

 Audit

 Tax

 Treasury

Snapshot of notable global CFO moves and appointments Page 1 / 3 Next update due: January 2017

People Moves FS EMEA Scott Kennedy, former CFO, Corporate Risk and Andrew Monkhouse joins Lockton as CFO - Broking at Willis Towers Watson, becomes the CFO designate for UK and international businesses of Jean-Christophe Menioux, former Head Global Line and Executive Director at DJI Holdings plc. Lockton. of Business Life and Savings at AXA Global Life, joins Blair Cawood joins Duet as Head of Fund Kieran O'Keeffe has been appointed by LV= as AXA Investment Managers as General Secretary Accounting from Castle Hill Asset Management. Finance Director, General Insurance. O'Keeffe joins and CFO. LV= from The Co-operative Group where he was Gavin Manson, former Finance Director at Thomas Adrian Keen, the former CFO of Anesco, joins CFO, General Insurance. Cook, joins Electra Private Equity Plc as its new CFO. Alpha as its CFO. Graham Jackson, former Head of Group Reporting Kevin Acton joins Gresham House as Finance Patrick Flaton, joins Avignon Capital as its new (Interim) at Nationwide Building Society, is now the Director from Oaktree Capital. CFOO, having been a Managing Partner and Group CFO at Mediterranean Bank. CFOO for several private equity firms over the last Ramesh Parmar, former Chief of Staff - Group Andrew Jones was appointed by NewDay as Head 12 years. Digital Banking and Group Transformation / of Finance Change. NewDay is one of the largest Change at Lloyds Banking Group, is the new CFO - Francesca Hampton joins Bank of Cyprus UK as and fastest growing credit card issuers in the UK. Global FX and Commodities at HSBC. CFO, from the Co-operative Bank where she was Troy Clutterbuck, former Regional CFO for the JLT Interim Finance Director. Ewa Kerin joins HSBC as CFO Global Function and Group, is the new CFO at NOW: Pensions. Head of Group Cost Performance. Emily Portney, the former JPMorgan Chase Mark Hall joins Rokos as Director of Fund Executive, joins Barclays as the company’s new Sophia Steiger joins HSBC as CFO for HOST (IT, Accounting from Winton Capital. CFO for the corporate and international (BC&I) operations, procurement and real estate) from business. Credit Suisse where she was shared services CFO. Sean Annetts joins Swisscanto Funds as Head of Finance and Risk. Stuart Johnston joins Centerview Partners as its new Paul Mainwaring joins IG Group as CFO. CFO. Grant Hotson joins Smith & Williamson as the Alan Trotter, former Group CFO at Alliance Trust, company’s Group Financial Director. Hotson takes Nico Botha has been promoted from Head of becomes the CFO at Invesco Perpetual. over from Jeremy Boadle who retires towards the Accounting Policy, EMEA at Citi, to become the Charlotte Jones, the former Head of Group Finance end of 2016. CFO for Citi South Africa. and Chief Accounting Officer at Credit Suisse, joins Alvaro Huete, joins Société John Worth has been appointed as the new CFO of Jupiter Asset Management as the company’s new Générale as Deputy Head the Co-operative Bank, leaving his role as Interim CFO. CFO at insurers Hiscox.

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Twitter @L3athwaite www.leathwaite.com Snapshot of notable global CFO moves and appointments Page 2 / 3 Next update due: January 2017 of Global Finance and Head of Global Financing Demetrios Bouras, former Executive Director at Non-FS Americas Activities for the UK. JPMorgan Chase, is now the Director of Accounting Policy at Lazard. Jeff Ross, previously CFO of Cyan Inc., replaces Rob Carrington, former Director, Investment Bank John Little as CFO and Board member of AVG COO at Credit Suisse, has been named as the Carrie Dolan, CFO for Lending Club, is leaving the Technologies. Global Head of Cost Management at Standard company to ‘pursue a new opportunity.’ Chartered. Jessica Soisson, previously Group Director, Douglas Spiegel has joined Light Sky as CFO and Worldwide Revenue Operations, replaces David Mark Bailey, former Finance Director of Global CCO, having held the same positions at Realm Zalewski as Principal Accounting Officer and Rates, Credit and Issuance at Deutsche Bank, joins Partners previously. Corporate Controller of Citrix. Standard Chartered as MD, CFO Financial Markets. David Squires becomes CFO Americas for UBS Ray Winborne, former CFO First Data, joins Asset Management, replacing John Moore who FS Americas GoDaddy as its new CFO. retires from role after 20 years at the helm. William Eckert, former Corporate Controller at Eric Shander is appointed Principal Accounting Anthony Chaves the former Glenview Capital ProSight Speciality Insurance joins Athene Holding Officer of Red Hat, replacing Frank Calderoni. Management CFO has been hired by Vernier Limited as its SVP Controller and Principal Capital Partners as its joint CFO and CCO. Jørgen C. Arentz Rostrup joins Telenor Group as its Accounting Officer. CFO. Peggy Sherry has been appointed as Deputy CFO Gary Kramer, the former SVP at Chubb Global for The Office of the Comptroller of the Currency Services, joins Barrett Business Services as the Global Audit (OCC), taking over from Gary Crane, who retires. company’s CFO. Henry Spencer, former Head of Internal Audit at Amy Shapero joins Betterment as the company’s Non-FS EMEA Legal and General Investment Management, new CFO. becomes Head of Business Audit at the Abu Dhabi Carol Mathis, former COO at RBS Investment Bank, Investment Authority (ADIA). Mike Santomassimo, leaves his role as CFO, joins Digital Asset Holdings as its Group CFO. Banking and Risk - Corporate Investment Bank at David Liddle, former Head of Audit at Prudential Emnet Legesse Rios, former Finance Executive and JPMorgan Chase, to become the Investment UK, joins Lloyds Banking Group as its new Head of Infrastructure Support Director at RBS, joins Digital Services CFO at BNY Mellon. Audit - Insurance Finance and Actuarial. Asset Holdings as its new Director of Finance and J. Duncan Smith joins Community Bank as its EVP Operations. Jamie Graham, former MD, and CFO. Regional Head of Audit, Ivan Nash Vila leaves his role as CFO for Central Asia, Barclays, becomes the Greg Hinkle has been promoted to CFO at Europe at Liberty Global to join Endemol Shine Chief Audit Executive at Dimensional Fund Advisors. Group as the company’s CFO. Nordea.

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Luís Moura, former Deputy Chief Internal Auditor at Santander UK, joins RAKBANK as its new Director How can Leathwaite assist? Group Internal Audit. Leathwaite is the global human capital Nimisha Patel, former Director, IT Internal Audit at consultancy for organisations that require PwC, joins RSA at the company’s new Director, talent, expertise and leadership. Technology and Operations Risk Management.

Daniel Roff joins Standard Chartered as its new Executive Search Head of Audit - Market Risk. Executive Interim

Asia Pacific moves Management Consulting

Michelle Jablko, former Co-Head of Greenhill, joins Market Intelligence

ANZ as its new CFO. Established offices in four key global financial Naveen Agarwal relocates to New York internally centres: with Bank of America Merrill Lynch as CFO for

Global Banking Coverage and Research. He was London: +44 207 151 5151 previously APAC CFO Global Corporate and Investment Banking. Zürich: +41 44 214 6640

Tammy Kuan has been appointed CFO for the Asia Hong Kong: +852 3152 2463 -Pacific region Savills Investment Management. Kuan previously held various senior executive New York: +1 646 461 9100

positions at Morgan Stanley Asia Pacific.

Lyndon Oliver, SVP and CFO US Group, Voluntary For a discussion on how the talent landscape is changing within your sector, please call and Worksite Benefits (GVWB) for MetLife, has been your regional Leathwaite office. named SVP and CFO Asia, replacing Toby Brown who has been promoted. To view the latest people moves across other

business sectors, please visit:

www.leathwaite.com/leathwaite-reports

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Snapshot of notable global HR themes, moves and appointments Page 1 / 3 Next update due: January 2017

Market Trends

 As the (theoretically) quieter summer period rather than the UK for certain replacement hires, opportunities are naturally attractive to many subsides and HR functions gear-up to undertake it seems that until Article 50 is invoked we will not who feel constrained within large multinationals the core-cycle, we naturally foresee a slower see the full impact of Brexit. and thus see running their own “show” as hiring-market in the build up to Christmas. potentially liberating. However, often the  The correct configuration of HR specialisms However, at the time of writing, there still internal perception of such functions and the continues to be a topic of internal debate pan- appears to be a level of demand and associated funding apportioned to them can industry, with decisions to both amalgamate movement within the global HR market. make transformation and medium-term success talent acquisition and development, or an uphill struggle.  Besides activity to upgrade in business alternatively de-merge the two, apparently partnering areas and seemingly ceaseless occurring in equal measure across the market. interest in talent for areas such as Executive Equally, whilst Performance has in recent years Compensation, HR functions are increasingly been seen as a natural complement to Reward, looking to harness the increased analytical anecdotal evidence suggests there are efforts power afforded them by new technology to re-position it as part of Talent in certain platforms such as WorkDay and SuccessFactors, instances. by creating roles for embedded chief data  Acute cost-pressure appears to present financial officers and chief digital officers within the services HR functions in particular, with a function. conundrum; on the one hand headcount and  At the same time however, the cost-hurdle cost constraints drive a natural urge to “double- organisations need to clear before realising the hat” or “triple-hat” senior HR people to justify cost-benefits and synergies of technological titles and compensation, yet on the other, this transformation, is not trivial. As such, more than also creates the risk of sprawling and disparate one planned global HR technology portfolios of work that can hinder the ability of implementation has been shelved on the basis the HR professional to deliver, in the eyes of of cost constraints. clients.

 Within Europe, the initial spike in location  Besides movement within business partnering strategy and workforce planning conversations and specialisms among global organisations, HR created by Brexit appears to have subsided leadership roles within boutique organisations somewhat. Whilst we are aware of some continue to appear in the market among funds organisations using existing EU-based platforms and boutique investment banks. Such

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Snapshot of notable global HR themes, moves and appointments Page 2 / 3 Next update due: January 2017

People Moves FS EMEA and Asia Pacific Simon Holland joins Oliver Wyman as Partner, from HSBC Jim Duffy has returned to CIT Group from Ally Financial as where he was the Group Head of Development. EVP CHRO. He was previously CHRO at Ally Financial. Paul Greene joins Credit Suisse as Head of Executive Rebecca Skitt joins Permira Advisers LLP as Group HR Joshua Varsano joins Digital Asset Holdings as CHRO. He Compensation Projects, from UBS. Director. Previously she was the CHRO for The Co- joins from Point72 Asset Management where he was Joanne Kwong joins Edmond de Rothschild as Asia Head operative Group. Global Head of HR. of HR. She was previously Head of HR for RBC Wealth Deborah Griffin has been appointed as Group Human Jason Lorenz joins E Trade as Global Head of Talent Management. Resources Director at Shawbrook Bank. Previously she Acquisition and HR Process and Policy. Previously, he was Florence Lecoutre has been promoted to Head of Group was the Head of HR, UK at Société Générale. Head of HR Service Delivery Project Manager at AIG. Human Resources at Euler Hermes. She previously served Ryan Lynch joins SHUAA Capital Pcs as Group Head of Ryan Donahue joins Evercore as Head of Reward. as the company’s CIO. HR, formerly he was HR Director at Gulf Finance Previously, he was a Compensation Manager at Teresa Lamy joins First Names Group as CHRO. She was Corporation. JPMorgan Chase. previously the Global Head of HR at TFM Group. Tom Howie joins Standard Chartered as COO for HR. Susie Elliott is promoted to Head of HR at Farmers Sherlina Chew joins GoSwiff as Global Head of HR. She Formerly he was the MD for Business Transformation at BT. Insurance, from Head of HR BPs for claims. leaves First Gulf Bank, where she was Head of HR. Stephen Lochhead joins Standard Life as Global Talent Sandy Lionetti, the former VP Head of People at Axioma, Kevin Purcell joins Hudson Advisors as CHRO. Kevin joins and Organisational Development Director. He leaves joins Global Trading Systems as its Global Head of Human from Barclays where he was Global Head of HR for IBD. Unilever, where he was VP for Talent and Resourcing. Resources. Dimitrios Lioumis leaves Itau BBA to be Hudson Advisors’ Louise Musgrove, former HR Director, Life and Pensions at Christine Robinson is now the VP HR, Canadian Division, VP of HR across Europe. LV=, joins Vanquis Bank as its new HR Director at Manulife, joining from Sun Life Financial. Brian Huggett joins Lloyds Banking Group as the Co-Head Julia Smith is appointed Head of People Services at Michael Fraccaro is now CHRO at Mastercard. Previously of Resourcing. He joins from BNY Mellon where he was Virgin Money. She joins from GE Oil and Gas where she he was EVP of HR for Global Products and Solutions. Head of Talent Acquisition for EMEA. was Head of HR for Europe. John Fitzgerald has been promoted to Chief Human Kim Roberts joins MasterCard as HR Leader for Global Resources Officer at Société Générale, having been the Talent Acquisition. She joins from PayPal where she was a FS Americas Head of Career Advisory, Compensation and Talent Acquisition Partner. Michael Keaveny joins Bank of Montreal as its new Recruitment for the company since 2000. Naomi Corrieri Hobbs joins Millennium Capital Partners as International Head of Performance, Reward and Charles Mah joins Workday as VP of Global Talent the Europe Head of HR. She leaves Goldman Sachs Operation. He was previously the EMEA Head of Benefits Acquisition. Prior to this, Mah was Global VP of Talent where she was the Global Co-Head of Legal and and Wellness, HR Services and Global Ventures at Acquisition at SAP. Compliance HR. Goldman Sachs. Karen Tobiasen joins Nordea as Chief Human Resources John Johnston joins Barclays from JPMorgan Chase as Non-FS EMEA and Officer from Philips. Global Head of Recruiting for Technology and Asia Pacific Operations, supporting newly appointed COO Paul Sarah Boddey has been appointed Chief Diversity and Compton, who has also joined from JPMorgan Chase. Priya Cherian joins Alibaba as Inclusion Officer for EMEA and APAC at Northern Trust. HR Director. Previously she Boddey joins from AIG where she spent three years as Torrie Levins is now the Head of Compensation for was HR Director at Flipkart. Head of Diversity and Inclusion for EMEA. Financial Services at Capital One. Previously she was the Head of Talent Acquisition for financial services.

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Snapshot of notable global HR themes, moves and appointments Page 3 / 3 Next update due: January 2017

Alan Frewer is now Head of Talent Acquisition at Amazon Damien Hooper-Cambell joins eBay as Chief Diversity Web Services, previously he was Director of Talent Officer. He was formerly Head of Diversity and Inclusion Acquisition and Development across the EMEA region at at Uber. How can Leathwaite assist? Credit Suisse. Liz Wamai joins Facebook as Director of Recruiting, Leathwaite is the global human capital Yvonne Agyei joins Booking.com as Head of HR, based in Global Business Functions – North America. She was Amsterdam. She was previously the VP of International previously the Head of Global Recruitment at consultancy for organisations that require People Operations at Google in London. Bloomberg. talent, expertise and leadership. Nicky Ivory-Chapman joins Channel 4 as the Head of Carmel Galvin joins Glassdoor as CHRO. She leaves Talent Acquisition. She leaves Regus where she was the Advent Software, where she was SVP CHRO. Executive Search Global Recruitment Director. Eileen Naughton has been promoted to SVP of People Executive Interim Helen Wyatt is appointed Head of HR at Cofra Holding, Operations (CHRO) at Google, following the based in Zug, joining from Firmenich. announcement of Laszlo Bock’s retirement. Management Consulting

Mark Spivey joins HBO (Time Warner Group) as the Head Missy Ballew joins Lookout as CHRO. Previously, she was Market Intelligence of HR EMEA. the Global Head of Talent, Learning and Diversity at HP.

Samantha Buttle joins Hogan Lovells as Head of HR for Emily Dancyger King joins McKesson as SVP, Talent Established offices in four key global financial Asia Pacific and Middle East. Previously she was an Management. She was formerly the Chief Learning Associate Director for KPMG’s People and Change Officer at Citi. centres:

Advisory Business. Ruth Ferguson joins The Related Companies as CHRO. Claire Timmins joins Ipsos MORI as HR Director. She joins She was formerly Head of Global Markets at Bank of London: +44 207 151 5151 from Compass Group where she was Head of HR America Merrill Lynch. (Educations, Defence, Government and Offshore). Zürich: +41 44 214 6640 Renee Atwood joins Twitter as Global Head of People. Quentin Naylor joins The Hut Group as Group Director of She joins from Uber where she was Global Head of Leadership and Development. Previously, he was an People and Places. Hong Kong: +852 3152 2463 Executive Director at Goldman Sachs within its Human Gautam Srivastava joins Universal Music Group as EVP of Capital Management Division. New York: +1 646 461 9100 Human Resources. Prior to his role at UMG, Srivastava was Rupert McNeil joins the UK Civil Service as Chief People CHRO at Shutterfly Inc. Officer. He joins from Lloyds Banking Group where he was For a discussion on how the talent landscape the Group Head of HR. is changing within your sector, please call Non-FS Americas your regional Leathwaite office.

Robert Toohey joins AOL as EVP and Chief People Officer, from Verizon where he was the President of Digital Media To view the latest people moves across other Services. business sectors, please visit: Mark Rogers joins Bayer as its Head of US Talent Acquisition. Previously, he was Director of Talent www.leathwaite.com/leathwaite-reports Acquisition at Sanofi.

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Snapshot of notable global Legal themes, moves and appointments

October 2016

For the latest EMEA, Americas and Asia Pacific moves across:

 Asset Management

 Global Banking Groups

 Investment Banking

 Regulators

 Retail Banking

 Wealth Management

Snapshot of notable global Legal themes, moves and appointments Page 1 / 2 Next update due: January 2017

Market Trends People Moves  Improved movement at a senior level with Investment and Global Banking Cissie Citardi has been promoted to GC at PineBridge an increased number of GC opportunities in Investments. Citardi will oversee the firm’s global legal Groups department, responsible for legal matters worldwide, across the market. asset classes. Citardi is based in the firm’s New York Victoria Welham has joined Barclays to be Head of Legal, headquarters and reports to Greg Ehret, the CEO. Offshore and Business Banking. Welham joins from Coutts where she was Co-Head of Legal. Anne Robinson joins Vanguard as GC and Global Head of  Signs that the market will remain relatively Legal and Compliance. Robinson joins from Citi where she buoyant for at least the next 6 to 12 months. Anna Lenahan will join CBA from Suncorp, where she is was the GC for Global Cards, and replaces Heidi Stam who currently Chief Risk and Legal Officer. She was previously a announced her retirement in 2015. Partner at Allens Linklaters and has been a Crown Prosecutor in Perth's Department of Public Prosecutions. Ashley Warmbrand joins Vanguard as Head of Legal and  Particular activity in the asset management Compliance for Australia. Neil Radey, GC Americas, and Andrew Hutcher, COO and wealth management sectors, including Americas Legal, have left Credit Suisse. Larry Young is Retail Banking for those businesses that sit within the appointed GC Americas in Radey’s stead. universal banks. Tom Russo, American International Group Inc's GC, will retire Buy Side after six years with the insurer. Russo, 72, will continue to remain the GC until the insurer finds a replacement. Jason Cohen, the former MD and Deputy GC for Fortress Karl Roessner is appointed by Etrade as its new CEO,  New entrants to the financial services Credit Funds has joined Anchorage Capital to fill their vacant GC seat reporting into the COO. replacing Paul Idzik. Roessner exits his existing role as GC market and newly regulated businesses are within the company to take up the position. Lori Sher, hiring senior lawyers with financial services Samuel Jed Rubin, former Pine River CCO/Deputy GC, has Deputy GC, will manage the legal and compliance been hired by Aurelias Capital Management to lead legal functions going forward. experience. and compliance for the firm. Russell Elmer has been named GC at Lending Club, a peer- Donna Rix, Assistant GC at Bank of America, joins Citadel as to-peer lender headquartered in San Francisco, replacing European GC, responsible for the legal and compliance Jason Altieri who has been the GC for the last seven years.  Continued demand for lawyers with function. Rix replaces Eva Sanchez who has left the firm. compliance, regulatory and litigation Giles Naylor, Head of Legal for Mastercard Payment Rob Rasamny, former BlueMountain Assistant GC, has been Gateway Services, is appointed Senior Managing Counsel, experience. hired to lead legal and compliance at BlueHarbour. to lead the European legal group Jasveer Singh joins Jupiter Asset Management as GC. Singh across Products and Services. joins from Man Group where he held the role of Group GC. Jason Elphick, former Santander Robyn Grew transitions into the newly created role of CAO Head of Banking Legal, joins

and GC at Man Group. Grew’s previous role was Global OneSavings Bank as its new Head of Legal and Compliance for the group. Group GC.

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Jeffrey Medeiros has joined USAA Bank as SVP, GC and Lorna Curry has moved from her role as GC for GE Capital Secretary from HSBC where he was Global GC Retail UK and taken on a new role as the GC for Hydro for the GE How can Leathwaite assist? Banking and Wealth Management. Renewable Energy business.

Laura Bednarski has been elected Corporate Secretary by Brackett Denniston III has left General Electric where he was Leathwaite is the global human capital US Bancorp’s Board of Directors. She retains her position as GC managing a 3,000 person team to re-join Goodwin as consultancy for organisations that require SVP and Deputy GC at the firm. Senior Counsel in the litigation department. He is based in talent, expertise and leadership. their Boston office. Regulators Jane Mee, previously of WSP Parsons Brinckerhoff, has been Executive Search Robert Cook is appointed President and CEO of the named the first GC at Hitachi Rail Europe. Executive Interim Financial Industry Regulatory Authority (FINRA), succeeding Elisa Garcia joins Macy’s Inc. as Chief Legal Officer. She Richard Ketchum, who served as Chairman and CEO since succeeds Dennis Broderick who retires as the company’s GC Management Consulting 2009. and Secretary after 29 years of service. Market Intelligence Sean McKessy, former First Director of the SEC’s Office of the Lesley Freeman has been hired by Metro-Goldwyn-Mayer as Whistleblower, is now a Partner at Phillips & Cohen, a Chief Legal Officer, replacing outgoing GC Scott Packman whistleblower focused law firm with offices in Washington Established offices in four key global financial who steps down from his post after 14 years with the DC. centres: company. Freeman joins from HBO, where she served as

SVP, Legal Affairs, for nearly 10 years. Non-FS London: +44 207 151 5151 Vicky Sandry steps into the role of GC, UK and ROI at Sky Martin Commons leaves his current role as Manager to the UK. She was previously Director of Legal - Competition, Zürich: +41 44 214 6640 Chief Legal Counsel to become the Chief of Staff – External Corporate and Regulatory at the company. Affairs at BHP Billiton. In his new role, his remit covers legal, Hong Kong: +852 3152 2463 compliance, corporate affairs, risk assessment and group Joana Mota joins Tesco as Senior Competition and health and safety. Regulatory Counsel. She joins from Barclays’ competition team. New York: +1 646 461 9100 Ulrike Schwarz-Runer, former GC at property group

Grosvenor, joins Boston Consulting Group as Global GC Alice Marsden is the new Group GC of Thomas Cook, For a discussion on how the talent landscape based in London. replacing Craig Stoehr. is changing within your sector, please call Graham Vinter, GC of BG Group from 2007 until 2015, has Christopher Morgan, the current Deputy GC at Weir Group, your regional Leathwaite office. joined Covington’s London office as Senior Of Counsel and has been named GC and Company Secretary of the

Chair of the International Project Finance Practice. company following the retirement of Keith Ruddock. To view the latest people moves across other Ramsey Homsany steps down as GC at Dropbox. Bart business sectors, please visit: Volkmer, Head of Litigation and Regulatory Affairs, is promoted to replace him. www.leathwaite.com/leathwaite-reports

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Snapshot of notable global COO, CIO and CISO moves and appointments

September 2016

For the latest EMEA, Americas and Asia Pacific moves across:

 Analytics

 Data

 Corporate Services

 Cyber-Security

 Facilities

 Operations

 Procurement

 Technology

 Vendor Management

Snapshot of notable global Operations and Technology moves and appointments Page 1 / 6 Next update due: January 2017

People Moves FS EMEA John Burns, the former CTO of Pioneer Investments, joins Cyril Reol, former Glencore CIO, has joined Man Group Deutsche Bank as Global CIO, COO Asset Management as Deputy CTO. Garry Beaton, former Global Head of Operations at Core Technology . Andrew Brown, former Barclays UK Private Bank Chief of Ashmore, joins the Abu Dhabi Investment Authority as its Tom Waite, joins Deutsche Bank as an MD within Staff, has joined US Expat and Fatca Specialist Maseco Global Head of Operations. electronic trading. Waite joined from Bank of America, Private Wealth as its COO. Lesley Cairney has joined Artemis Investment where he was also an MD. Before that, he was an MD at David Grant has joined Nationwide as Head of IT and Management as COO. She was formerly at Henderson Goldman Sachs for six years until May 2014. Security Risk from Lloyds Banking Group, where he was Global Investors as COO. Amish Popat joins Dromeus Capital Group as COO from the Head of Technology Risk, Regulatory Compliance. Lewis Love, the former Global Chief Procurement Officer New Amsterdam Capital, where he was the Finance and Alvaro Garrido joins Nordea as Group CIO from Standard for Aon has been named as the COO for Bank of Ireland, Operations Manager. Chartered. responsible for the Group Manufacturing division. Stephen Manning joins Dual Group as Dual International’s Tim Valmas, former IT Director at Octopus Investments, Lindsay O’Reilly has joined Barclays as Group Chief Data new COO, leaving Sompo Canopius. joins Numis Securities as Head of Technology and Officer and COO to the CFO, from JPMorgan Chase. Ian Morris is now MD, Co-Global Head of Technology at Operations. Mark Ashton-Rigby, CIO of the Corporate and Derivatives Utility FIS, joining from HSBC. Simon Hull joins Old Mutual International as the Investment Bank at JPMorgan, joins Barclays as the Remo Marini joined Generali as Head of Group IT and company’s Operations Director for the Isle of Man. Group CIO. Operational Risk and Security from UniCredit. Paul Bramley, former Partner and COO at Sand Grove Alex Batlin, former Senior Innovation Manager at UBS, Tom Hawkins joins Inmarsat as Director of Corporate Capital Management joins Pillarstone as its COO. joins BNY Mellon and will focus on developing blockchain Services, Global Procurement from EY where he was technologies. Martin Lunt joins Rathbones Brothers as CIO. He joins from Procurement Manager. KPMG CIO Advisory Group where he worked as a Simon Hale joins Cardano as CTO, previously CTO for Stephane Perrottet, has left his role as Head of IT Platform Director. AIMS technology within Goldman Sachs. Services at Leonteq Securities AG, to join Jabre Capital Philip Scott joins Rokos Capital as COO from Deutsche Mark Hipperson joins Centtrip as CTO, formerly he was as CTO. He replaces Fabien Vernaz who leaves to set up Bank where he was COO for debt sales. CTO of Starling Bank. his own fintech business. Paul Kedney has been hired by Sompo Canopius from John MacDonald joins Citadel as Head of Technology in Cheryl Newton, former Group Operations CIO at Lloyds Aegis London to join the management of its Lloyd’s Europe, from JPMorgan Chase. Banking Group, joins JPMorgan Chase as an MD within business as Chief Commercial technology. Peter Hacker has joined Cooper Gay Swett & Crawford as Officer. Chief Innovation Officer. Charles Brooks left his role in Chubb to join Kemper as Sasa Brcerevic, former Hiscox the company’s new CIO. Donal Fleming becomes the CTO at Credit Benchmark, London Market COO, joins THB joining from BlueCrest Capital where he was CTO. Adrian Asher has left HSBC and joined the London Stock as its new COO. Exchange as CISO.

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Mike Dargan, former Capital Markets CIO for Standard Brian DiPietro joined Bank of Tokyo as CISO, from formerly the CTO. James Lee was promoted to the Chartered, has resigned to join UBS as Global CIO. JPMorgan Chase. vacated CTO position.

Lina Shehadeh has been hired by Wamda Capital as its Julio Jogaib, the Citi technology veteran, joins Mark Rohrwasser joins Equifax as International CIO, COO in the UAE. Shehadeh has left her role at United BankUnited as its new CIO. based in Atlanta. He resigned from PayPal earlier this Arab Bank as its SVP of Marketing and Communications. year. Barbara F. Duck was promoted from Senior EVP and FS Americas Manager of Data and Technology Services to the Ken DeGiglio joins EquiLend in the newly created role of position of CIO for BB&T. CIO and as a member of its executive team. DeGiglio, Joseph Kissel joins Ameris Bank as EVP and CIO. Prior to who will be based in New York, joins from TD Ameritrade, Diane Lye leaves Bank of America where she was joining Ameris Bank, Kissel was CIO at BankUnited. where he was most recently Head of Application leading data for global banking and markets, joining Development. David Bonfili, the former COO at BlackRock’s Alternative Capital One as COO. Investors Group, has joined Aptigon Capital (a Citadel Michael Fillios is now CIO at Fifth Third Bank. Fillios was Denise Menelly, formerly Head of Shared Services company) as MD and COO. previously VP of IT and Divisional CIO with Delphi. Operations at Bank of America, joins CIT as Head of Ian Roche was appointed as Head of Research and Operations and Technology replacing Stacey Goodman. Gary Warzala joins Fifth Third Bank as the CISO, from PNC. Data IT for AQR Capital Management, joining from UBS Steve Lieblich joins Citadel as Asset Management CIO, Scott Pflug is appointed CISO at F.N.B. Corp. He was where he was Global Head of Product Management for from Morgan Stanley where he was Group CIO. formerly CISO at FirstMeritCorporation (Huntington execution and risk technologies. Bancshares). Gavin Michael, the former Head of Digital for JPMorgan Hugh McFadden joins The Bancorp as Group COO. Prior Chase, has been hired by Citi to lead technology Lin Lu, Americas CISO for Deutsche Bank, joins Freddie to joining Bancorp, McFadden served as a Consultant for operations of its consumer bank. Mac as CRO for IT and Information Security, reporting to Promontory Financial Group. the CRO. Mary Ellen Baker joins Citizens Financial Group as Head Andrew Banhidi leaves Bank of America, where he was of Business Services from PNC Financials Enterprise Nancy Corsiglia has joined Ginnie Mae as EVP and COO, Head of Equities IT, to take time off. Simon Goddard, Services where she was EVP. replacing Mary Kinney who retired in February. previously Head of Strategy and Architecture, will replace him as Head of Equities IT. Leslie Sigall, formerly the COO for infrastructure at Credit Jim Brady has been promoted to the role of COO at Suisse, moved to CSC, as VP, Business Operations and Grant Thornton. Dave Matthews, also of Bank of America, is moving over CFO. to the consumer IT organisation, previously Head of Sol Zlotchenko, former CTO at Paladyne Systems, joins Payments IT in wholesale. Tracy Kerrins is taking over part Greg Dietrich, Head of Enterprise Services at Credit Suisse Hazeltree as CTO. of his old role. under the Head of Infrastructure, has also joined Steve Michael Collester is promoted Hilton at CSC to be VP, Operations Engineering. Siobhan MacDermott joins Bank of America as an SVP to COO of JetPay Corporation. Executive for cybersecurity policy, from EY where she ran Udo Neumann joins Daimler Financial Services as Global Lori Beer has been promoted its West Coast Cyber Policy Practice. CIO. to the role of CIO for the Susan Yung joins Bank of America as US Head of Lynn Bishop is promoted to Head of Development for Corporate and Investment Securities Operations, from Goldman Sachs. DTCC, replacing the retiring Al Gambale – she was Bank at JPMorgan Chase. Beer

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Twitter @L3athwaite www.leathwaite.com Snapshot of notable global Operations and Technology moves and appointments Page 3 / 6 Next update due: January 2017 was previously the company's payments CIO. consumer and business banking. Prior to joining FS Asia Santander Monk was a Consultant. Harish Grama joins JPMorgan Chase as the bank’s CIO Arun Sharma is hired by Bank of America as India CTO for cloud services. He was previously at IBM. Saiful Khandker joins Soroban Capital as its new CTO, from JPMorgan Chase where he was Head of Global from Marshall Wace. John Cornetta joins Ladenburg Thalmann Financial Technology for India. Services Inc as Head of Procurement. Cheri McGuire steps down as VP of Government Affairs Neil Stark joins BlackRock as APAC Head of Client at Symantec and joins Standard Chartered as CISO. Sameer Gulati, former Partner at McKinsey & Co, joins Onboarding. Neil joins from JPMorgan Chase. Lending Club as the company’s new COO, Head of Matt Demonte has joined State Street as Head of Broker Gary Ardell joins Credit Suisse as Head of Equities IT in Corporate Development and Strategy. Dealer Operations. He joins from RBC where he was Hong Kong. Global Head of Broker Dealer and US Head of Linda Mantia, former EVP, Head of Digital, Payments and Operations. Eugene Suh, formerly Chief Investment Officer at Unitas Cards at RBC, joins Manulife as Group COO, replacing Capital, has joined CVC Capital Partners as Partner and the retiring Paul Rooney. Shekar Pannala has joined S&P Global Ratings as the Asia COO based in Hong Kong. He is joining CVC also as company’s CTO, from BNY Mellon. Andy Konchan joins MB Financial Bank as its new CIO. a member of the Asia Pacific Private Equity Board and Jay Rajarathinam has joined TMX Group as CIO. the Asia Pacific Investment Committee. Bill Crumm joins Morgan Stanley as Head of Cyber, Rajarathinam was previously Global Head of alongside Michael Wertheimer who runs cyber strategy, Tim Taylor joins Deutsche Bank as APAC Head of Infrastructure for Intercontinental Exchange. both formerly with the NSA. Infrastructure Technology reporting into Patrick Huang. Heather Cox, former Citi Head of Fintech, joins USAA in a Taylor was previously the APAC Head of Computer Jaime Sobrepera left Bank of America where he ran newly created role of Chief Technology and Digital Infrastructure for technology. deposit operations to join Morgan Stanley. Officer. Ashish Shastry leaves Northstar Group to join KKR & Co to Max Caceres joins PDT Partners as CSO and Head of Dimitri Offengenden joins Washington Square head its operations in Singapore. Infrastructure, from Arcesium (DE Shaw’s tech spinoff). Technologies as an MD focusing on client solutions. John Goodall leaves Sportsbet to join Medibank Private Markus Nordlin joins QBE Insurance as Global CIO, in a Previously with JPMorgan Chase where he was an MD in as CIO, replacing Sarah Harland. newly-created role at the company. Nordlin moves from the Core Analytics Group. Zurich where he was the CITO. Toby Brown was appointed by MetLife as Japan COO. Steve Santini, former Head of Enterprise and Access Brown relocated internally from Hong Kong to Tokyo Blythe Masters, former JPMorgan Chase Executive and Management at Bank of America, joins Wells Fargo to where he was previously APAC CFO. currently running Digital Asset Holdings, has been named lead enterprise access management. Group Senior Advisor of Technology and Blockchain to Tracey Harris joins Employers Mutual Limited as Group Richard Lowery has been appointed as SVP and CIO at Santander. She also joins its International Advisory Board Executive for corporate W. R. Berkley Corporation. Lowery most recently served in and the Board of Online, only subsidiary Openbank. services from Cover-More senior roles at Risk Solutions International and Marsh & Group where she was GM for Dan Griffiths has joined Santander, NA as CIO/CTO, from McLennan Companies. insurance operations and CEO TD. Morian Eberhard is joining Zions Bancorporation as CISO, for China. Joseph Monk, joins Santander as the company’s CIO for from MUFG Union Bank where he was Deputy CISO. Ericson Chan joins Ping An

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Insurance as Head of Technology. at Office, joins GAME as its new COO. Cynthia Stoddard, former CIO of NetApp, appointed SVP and CIO of Adobe. Peter Mo has been hired by State Street to be APAC CIO. Marc Dardenne has been appointed COO Jumeirah He had previously spent nearly 20 years at Credit Suisse, Group, joining from Patina Hotels & Resorts in Singapore Kim Brown Wilmsen has been promoted from VP of North with his most recent role as Head of Technology for where he was CEO. America IT to the position of SVP and CIO at Arcadis US. Greater China. Jerome Rutler joins LOC as COO from Bureau Veritas David Shields joins ASI Government as Managing Director Sarah Harland is appointed as Suncorp’s new CIO. where he was VP of Corporate Development. of the firm's new procurement transformation and Harland joins from Medibank where she was the EGM, category management practice from Apsiz Services Den Pilsworth leaves Man Group where he was Global Technology and Operations. where he was Director. CTO to take up a CTO role at a sports betting Roger Hepper, the former JPMorgan Chase Asia Pacific consultancy. Joe Wagner joins Axonify as its new COO, from GT Nexus. COO, has been hired by Value Partners Group as its new Anna Barsby, former CIO at Halfords, joins Morrison’s as Hatem H Naguib, former VP of Security at VMware, joins COO. the company’s Chief Technology Director. Barracuda Networks as GM for its security business. John Arthur, Westpac COO has announced he will retire Enzo Scarcella, former CMO at Telkom joins MTN Group Greg Hyslop joins Boeing as its new CTO, taking over from from the bank after five years in the role. as its new COO. John Tracy who is retiring.

Non-FS EMEA Jeremy Vincent has been appointed by Network Rail in Rohan Pal has been named as CIO and Chief Digital the role of CIO, leaving his role as CIO of Jaguar Land Officer for Brink's. Pal served as CIO at Recall Holdings Luc Hennekens has been named as the new CIO for Rover. before joining Brink's. Airbus Group SE, joining from Qantas Airways Limited where he was the CIO. Andrew Wild joins QTS as CISO from Lancope (part of Dave Herwig joined Choice Hotels International as CISCO) where he also served as CISO. Deputy CIO, from Wells Fargo where he was the CTO for Rod Carr joins Amec Foster Wheeler as CIO, from consumer credit. Centrica. Simon Kirby is appointed COO Rolls-Royce joining from HS2. Melanie Kalmar was promoted from Director of Simon Jenner joins Booking.com as CISO, from JPMorgan Information Systems to the role of CIO with Dow Chase where he had been CIB CISO. Peter Tollkuehn is appointed CTO Middle East for Chemical. Siemens, moving from Siemens in Munich where he was John Douglas leaves Burberry after more than nine years, Head of Technology Field Systems Engineering. Jay Ferro has been appointed as EVP, CIO and Chief to join Tory Burch as its new CTO. Product Officer of EarthLink. Previously, Ferro was the CIO Derek Hendry joins Business Stream as Director of Non-FS Americas for the American Cancer Society. Strategy and Corporate Services from Standard Life Ira “Gus” Hunt, former CTO for the CIA, joins Accenture Alberto Consuegra Granger where he was Head of Group IT. Federal Services (AFS) to lead its cybersecurity practice. has joined Ecopetrol Mike Young joins Centrica as Group CIO from Dentsu International as VP of Supply Anthony West has left his role at Credit Suisse to join Aegis Network, where he was also the Group CIO for the and Services from Equión Actiance as CTO. Neil Senior joins him as VP of Customer company. Energía where he was Success from stints at EMC, RSA and Aruba Networks. President of Exploration and Guy Lister, former Chief Customer and Marketing Officer

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Production. Ricardo Montes Gómez has also joined Andrew Howard, former Director of Cyber Technology Officer at SNC Lavalin from his position as President of Oil Ecopetrol as Corporate Manager from Marsa Energy Inc and Information Security Lab at Georgia Tech, joins and Gas. where he was VP in charge of corporate strategy. Kudelski Security as the company’s CTO. Mark Winger joins Spectrum Brands as CIO from CUNA Aarti Shah has been promoted to the role of CIO at Eli Ashley T. Brooks joins LKQ Corp. as SVP and CIO. Mutual where he was VP of Commercial and Corporate Lilly. Shah was most recently Global Brand Development Previously, Brooks served as the CIO for global Services. Leader of Immunology for Lilly's biomedicines business components at Arrow Electronics. Tony Young joins Sophos as its CIO. Young joins from unit. Michele Kuhrt has been promoted from SVP of Tax, to GoPro where he was CIO. Scott Garberding joins FCA Group as Head of Quality EVP and CIO at Lincoln Electric. Hans Melotte joins Starbucks as EVP Supply Chain from from Chrysler Group where he was Chief Procurement Ali Reza joins MotaWord as its COO, from Dwell Family Johnson & Johnson where he was VP and Chief Officer. Doctors where he was also the COO. Procurement Officer. Ted Bowlds is announced as the new CIO of Flightsafety Tom Pageler, CRO at DocuSign, joins Neustar as CRO and Theresa Mitchell is promoted from Director of ERP and and Joe Warakomski is promoted to Deputy CIO. CISO. Business Systems to CIO at Stoneridge. Jennifer Hartsock was appointed Global CIO for GE Oil & Tristan Boutros becomes COO of Product, Technology Michael Fey, former President and COO at Blue Coat Gas. Previously, Hartsock was CIO at Cameron. and Design for The New York Times. He was previously Systems, joins Symantec as its President and COO. C Vijay Kumar joins HCL Technologies as its COO. with Warner Music Group, where he served as SVP of Relle Howard has joined Trinity Industries as VP and CIO. Technology and Business Process. Matt Hershfeld joined Hewlett Packard Enterprise as Howard previously served as VP of IT at Flowserve. Director of Strategic Software Procurement from GSK Skip Potter joins Nike as CTO, from Capital One where he Vince Campisi has been named as United Technologies where he was Director of IT Software and Services ran digital engineering. new SVP of Digital and CIO. Campisi was previously COO Procurement. Mark Settle was named the first ever CIO of Okta. Prior to with GE Digital Predix Products and Technology. Alan Lowden was recently promoted from VP of joining Okta, Settle was CIO at IHS. Melanie Vic Bhagat, the former EVP and CIO at EMC, Technology to CIO with H&R Block. Ken Barnes joins Omni Hotels and Resorts as CIO. Barnes joins Verizon Enterprise Group as its new CIO. Pierre Noel has left Microsoft to join Huawei as CIDO and was most recently SVP of Global Client Relations with Nathan Johnson joins Werner Enterprises as SVP and CIO. Chief Privacy Officer. GuestTek Interactive Entertainment. Johnson spent several years as SVP and CIO with Ports Delaney Bellinger recently joined Huntsman as CIO. Sanjay Mirchandani, former Corporate SVP at VMware, America prior to joining Werner Enterprises. Bellinger was previously with EP Energy, where she served steps down to become COO of Puppet Labs Inc. Gregory Touhill has been named the first ever CISO for as CIO. Pete Thompson leaves Sonos to join Rovi as its EVP and The White House. Paula Tolliver becomes Corporate VP and CIO for Intel. COO. Ray Schlaff joins Wood Group Tolliver was formerly VP of Business Services and CIO with Jim Alkove, the VP, Product Engineering and Security at as Chief Procurement Officer The Dow Chemical Company. Nest becomes the EVP of Security at Salesforce. from National Grid where he Bill Bodin, Chief Technical Officer at IBM leaves to join was Chief Procurement Officer. Christian Brown is promoted to Corporate Development Kony as CTO.

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Grant Richard, former Goldman Sachs Head of Data Centres, became Head of Infrastructure at XPO Logistics. How can Leathwaite assist? Jack Waters joins Zayo as CTO, President of Network Solutions. Leathwaite is the global human capital consultancy for organisations that require Non-FS Asia talent, expertise and leadership.

Russell Skingsley has been appointed by Hitachi Data Systems as CTO officer for Asia Pacific. Prior to joining Executive Search HDS, Skingsley was VP of Systems Engineering for APAC at Executive Interim Juniper Networks. Management Consulting Vishal Salvi has joined Infosys as CISO, from PwC. Market Intelligence Craig Wishart joins KPMG Australia as the company’s new

CIO from UXC. Established offices in four key global financial Masao Kuruma is named Mitsubishi Motors’ first ever CIO centres: and joins from Sony Corp where he was most recently an

Executive in the Information Systems Department. London: +44 207 151 5151 John Hooper joins SunWater as GM of Corporate Services from Endeavor Foundation where he was EGM Zürich: +41 44 214 6640 Corporate Services. Hong Kong: +852 3152 2463 Russell Ambrose, former Group Manager Information Technology at Vector Limited, joins Airways New Zealand New York: +1 646 461 9100 as its CTO.

For a discussion on how the talent landscape is changing within your sector, please call your regional Leathwaite office.

To view the latest people moves across other business sectors, please visit:

www.leathwaite.com/leathwaite-reports

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Snapshot of notable risk themes, moves and appointments

October 2016

For the latest EMEA, Americas and Asia Pacific moves across:

 Sell side

 Buy Side

 Insurance

 Retail Financial Services

 Central Counterparties

Snapshot of notable risk themes, moves and appointments Page 1 / 3 Next update due: January 2017

Market Trends People Moves  Several asset managers and non-FS firms are Sell side FS replaces Petra van Hoeken who is leaving to join investing in talent able to strengthen their Rabobank as CRO. David Thwaites has moved internally at Barclays, control environment and implement a more Ivan Pooran, Head of Operational Risk for GE from Head of Fraud into the Chief Controls Office robust three lines of defence model, akin to Capital Americas, has joined Santander Bank USA for the Investment Bank. those that have been adopted by the banks. as Chief Operational Risk Officer. Mike Quinn, a Senior Consultant at GE Capital, joins Diony Lebot is appointed Group CRO at Société BNP Paribas Leasing Solutions UK as Risk Director. Générale. She was promoted internally from the  Challenger banks and more established fin- Thomas Herrmann has been appointed CRO for Deputy CRO role, having previously been CEO for tech platforms are targeting senior risk Wealth Management at Credit Suisse. He was the Americas. professionals from banks with ERM experience formerly EMEA Chief Credit Officer, and is Jim Oates, Chief Auditor at UBS, has been who can help develop frameworks to identify relocating to Zurich to take on the role. and manage risk in different lines of business appointed Global Head of Compliance and Betsy Konvalinka has been appointed Global Risk more holistically. Operational Risk Control. Oates replaces Colin Bell COO at Deutsche Bank. She moves internally to who has left the bank. replace Elizabeth Sandler, who has relocated to Christian Hunt, Group Head of Compliance and New York to join Blackstone Group as a Managing  Non-financial risk talent remains the key Operational Risk for UBS Asset Management, takes Director. demand area in financial services firms as on the role of EMEA Head of Compliance and concerns around culture and a myriad of risks John Davidson, Group CCO and Head of Operational Risk Control, in addition to his current spanning operational, legal, conduct, Compliance for the Institutional Client Group at responsibilities. Christian stepped into the role in regulatory, model and IT risks remain Citi, is leaving the Bank. A search is underway for a July. paramount. successor. Kevin Oden, Chief Market Risk Officer at Wells Balbir Bakhshi joins Deutsche Bank as Group Head Fargo, has moved internally into a new of Non-Financial Risk. He will join in January 2017 management role as Global Head of Compliance  The evolving technology and data analytics from Credit Suisse where his role as Group Head of and Operational Risk. landscape continues to pose major Operational Risk will be assumed by Jason Forrester,

challenges around data governance. In Global Head of ERM. insurance and retail banking sectors in Reinout van Riel, former Chief Portfolio Officer at particular, data and ‘digital risk’ talent is in Propertize has been appointed CRO at NIBC. He high demand.

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Twitter @L3athwaite www.leathwaite.com Snapshot of notable risk themes, moves and appointments Page 2 / 3 Next update due: January 2017

Derek Flowers, Group Chief Credit Officer at Wells Retail FS and Insurance Fargo assumes additional responsibility for market Ryan Zanin, formerly CRO of GE Capital and now risk. Amir Firdaus, Head of Liquidity and Market Risk at CEO of the Restructuring, Strategic Ventures and Sainsbury’s Bank, has joined Al Rayan Bank as Vic Albrecht, Chief Credit Officer for Wealth and Insurance Group, has been elected to join the Treasurer. Retirement at Wells Fargo, is appointed CRO for the Fannie Mae Board of Directors. Community Banking Division. Albrecht replaces Keith Jackson, former Group CRO at Towergate Paul Blackmore, Head of Operational Risk at Metro Claudia Russ Anderson who has taken six-month Insurance, has joined Aon UK as CRO with Bank, has been appointed Head of Operations unpaid leave from the company. responsibility for both risk and compliance. Assurance at Harrods Bank. Annie Tay has been appointed APAC CRO at AXA, Buy side FS Kevin Moffitt, former CRO at First Midwest Bancorp, and joins from Cubic Risk Solutions, where she was joins MB Financial Bank as CRO, to oversee an Audrey McNair leaves Aberdeen Asset CEO and Founder of the risk and actuarial integrated legal, risk and compliance function. Management and her role as Global Head of management consulting firm. Tay was formerly Business Risk, stepping into several non-executive CRO for Ageas Insurance (Asia). Julia Dunn has been appointed CRO at director roles. Nationwide. She moves internally having joined the David Kindred has joined start-up bank Civilised as company in 2013 from the FCA as Chief Elise Golden has joined First State Investments as Interim CRO, leaving Tesco Bank where he was Compliance Officer. Senior Manager, EMEA Risk and Compliance. Elsie Interim Financial Risk Director. joins from Blackrock, where she held the role of Matthew Kent, Head of Group Lending Risk at Scott Munro, Strategy Execution Director at CYBG Head of Business Model for iShares EMEA. Nationwide, has moved internally to Head (owns Clydesdale & Yorkshire Bank in the UK), Prudential Risk Oversight for Lending. Emma Vernon, Head of Strategic Risk Projects at moves internally to a new role as Head of Kleinwort Benson has moved internally to assume a Operational Risk. Olly Reeves, Head of Risk Management at Lloyds of new role as Head of Financial Risk. London, will join Neon, the specialist Lloyd’s insurer Julia Cattanach has joined Experian as CRO and as CRO. Barry Schachter, former CRO at 40 North and Deputy Global GC in the UK. Cattanach joins from Moore Capital, joins Light Sky Macro as CRO. Tesco Bank where she was Compliance, Conduct and Regulatory Director. Nas Islam joins M&G Investments as Head of Investment Risk. Islam joins from Henderson Global Klaas Van Wyk De Vries has become a Senior

Investors where he was Head of Investment Partner at Fair Isaac Advisors, a division of FICO, Oversight. the data analytics company. De Vries joins from Tesco Bank where he was Risk Director. Ian Wright, Head of Enterprise and Operational Risk at SunLife, has been appointed CRO at Old Mutual Wealth.

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Susana Morato Grice, formerly Global Head of Brian Hardwick has joined Towergate, an Network Policy and Compliance at American independently owned insurance intermediary in How can Leathwaite assist? Express, joins PayPal as Head of UK Risk the UK, as CRO. Hardwick joins from Chubb, where Management. he was CRO. Leathwaite is the global human capital consultancy for organisations that require Olly Reeves, former Head of Risk Management at Iain Laing, CRO at Nationwide Building Society, has talent, expertise and leadership. Lloyds of London will join Neon as CRO. been appointed CRO at TSB. He will take over the

role from Neeta Atka who is leaving the bank. Susana Morato Grice, formerly of AMEX, joins Executive Search PayPal as Head of UK Risk Management. Mo Romani, Chief Credit Officer for Corporate Executive Interim Banking at Regions Bank, joins SunTrust as Chief Munib Ali has left Santander UK, where he was Credit Officer. Management Consulting Compliance Director for Wholesale and Corporate Banking, and is now an Advisor at Promontory. Spyro Karestsos, Head of ERM at Vanguard has left Market Intelligence to join SunTrust in a similar newly created role. Munib Ali, Compliance Director for Wholesale and Established offices in four key global financial Corporate Banking at Santander UK, has joined Margon Lyons is appointed CRO at Ulster Bank, centres:

Promontory as an Advisor. replacing Stephen Bell who left the bank last year. Lyons joins from GE where she was the Managing Laura Izurieta has been hired by Silicon Valley Bank London: +44 207 151 5151 Director of Risk Management for GE Financial as CRO, replacing Marc Verissimo who is retiring. Markets, and Head of Operational Risk for GE Zürich: +41 44 214 6640 Izurieta was previously CRO for Retail and Direct Treasury. Banking at Capital One. Hong Kong: +852 3152 2463

Dr. Usman Chaudry joins Tandem Bank, the digital Central Counterparties New York: +1 646 461 9100 UK start-up, as Head of Credit Risk and Enterprise

John Fennell has been promoted from EVP for Wide Risk Management. Chaudry joins from Financial Risk Management (Business Risk), to CRO For a discussion on how the talent landscape Standard Chartered where he was Global Head of for The Options Clearing Corporation (OCC). He is changing within your sector, please call Policy and Risk Governance. replaces John Grace, who has left the company. your regional Leathwaite office.

John Hunt has been appointed CRO (Retail) for Dale Michaels, also at The OCC, replaces Fennell Together Money. He joins from Nationwide where having joined the OCC in January from CME Group To view the latest people moves across other he was Head of Group Risk Oversight. where he has a long career in risk management. business sectors, please visit:

www.leathwaite.com/leathwaite-reports

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