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Three Lines of Defence
by Mark EnticottThe “Three Lines of Defence” Podcast provides an in-depth discussion into the world of Audit, Compliance and Risk for Banking & Financial Services. We will have in-depth discussions with a wide range of industry experts across the Three Lines of Defence, provide market updates, career advice and other key developments.
Copyright: Bowen Partners
Episodes
Market Update Hong Kong
8m · Published- Key areas of growth within the banking and financial services market
- Status of recruitment within investment banks
- Forecast on re-organisation of companies.
- Updates on hiring in asset management, credit risk, banking, risk management, audit, IT
- Virtual bank updates and risks
- Insurance sector’s hiring and technology development.
- In demand jobs for each area.
- Sectors that have driven job growth.
- Compensation status in jobs around these sectors.
Christoph Roeder, APAC Head of Financial Crimes at Morgan Stanley
19m · Published- Christoph tells us about his early life.
- He gives us a background on his work history.
- Developing a career in compliance and FCC despite having a legal background.
- Key mentors that helped develop his career and leadership style.
- A key turning point in his career.
- Significant challenge he experienced and how he overcame it.
- Characteristics he looks for when he hires team members.
- Key attributes of an effective leader.
- Important elements of stakeholder management
- 3 pieces of advice he would give to a younger version of himself.
- Key issues for FCC in the next few years.
- Getting global cooperation between law enforcements and regulators.
- The impact of technology in FCC moving forward.
- Managing high pressure and stress in a senior leadership role.
- His passions outside of work.
Market Update Australia
9m · Published- Hiring across Banking, Insurance, Superannuation & Asset Management.
- Expansion in Financial Crime Compliance.
- The expectation of increased regulatory pressure and litigation throughout 2021.
- Expanding budgets for compliance and headcount.
- Regulatory reforms impacting the insurance sector.
- Skills and jobs in demand.
- Main sector drivers for hiring.
- Status of compensation and bonuses in the industry.
Harry Bader, Global Head, First Line Non-Financial Risk, Global Markets Sales & Capital at ANZ
48m · Published- Harry’s early life and where he grew up.
- His reason behind choosing an apprenticeship in banking.
- The driver of his transition on shifting careers from trading to audit.
- He tells us more about his move from Zurich to Singapore.
- Mentors that have influenced him in his career and leadership.
- Key attributes of an effective leader.
- Challenges in covering a global role.
- The future impact of COVID 19 on business continuity plans.
- Harry’s passions outside work.
Alan Leung, Head of Compliance Assurance, Greater China at Citibank
35m · Published- Alan’s early life and where he grew up.
- The story of how he ended up working in banking and the roles he took on in the different companies he worked for.
- How key mentors helped develop his career and leadership style.
- Significant turning points in his career.
- One fundamental key challenge he overcame.
- Key attributes of an effective leader.
- Elements of effective stakeholder management.
- One piece of advice he would give to a younger version of himself.
- Involvement of compliance in digital transformation.
- The increase of regulatory focus both now and going forward around governance and culture.
- The future of regulatory focus and expectations around ESG and sustainable finance.
- Managing work pressure and stress.
Nick Kee, Managing Director, Global Head of Institutional Securities Group Compliance at Morgan Stanley
42m · Published- Nick’s early life and where he grew up.
- Practicing as a lawyer and making the move to work in compliance.
- The drivers behind moving to Macquarie then Morgan Stanley.
- Transitioning through work places from Hong Kong to New York.
- How key mentors have helped shape his career.
- Significant turning points in his career that led him to where he is today.
- One challenge he had to overcome.
- Characteristics he looks for when hiring people.
- Key attributes of effective leaders.
- Key attributes of effective stakeholder management.
- One piece of advice he would offer to a younger version of himself.
- Challenges for banks and financial institutions on monitoring, testing and supervision especially under COVID-19.
- Keeping the team engaged and involved despite working from home.
- Managing work pressure and stress that come with key leadership roles.
- His passions outside work.
Emily Wright, Managing Director, Global Head of Compliance Surveillance at Standard Chartered Bank
41m · Published- Emily’s early life and where she grew up.
- Her career progression and how she found herself in the world of banking & finance and compliance.
- Key mentors in her career.
- The turning point in her career that brought her to her current role.
- Her process of hiring new people.
- Key attributes of an effective leader.
- Advice she would give to a younger version of herself.
- How to use surveillance resources better to focus on the key risks.
- The future of surveillance with AI and technology.
- Managing work pressure and stress.
- Emily’s passions outside of work.
Lee Alam, Managing Director and APAC Head at A&O Consulting
49m · Published- Lee shares the story about his early life.
- Developing a career in the regulatory and banking spaces.
- Their key focus in consulting.
- Biggest challenge he experienced in his career.
- Key attributes of an effective leader.
- Key attributes to strong stakeholder management.
- One piece of advice he would give his younger self.
- Key areas of conduct risk as a result of COVID-19.
- How cross-culture, conduct, governance, accountability issues translate from the financial services industry to other sectors in corporates.
- Discussing what it’s like to be a regulator.
- Managing work pressures and stress.
- Lee’s passions outside of work.
Scott Burton, Regional Head of Anti Financial Crime Compliance at Deutsche Bank
26m · Published- Scott shares about his early life and where he grew up
- Why he started in banking financial services sector and developed his career within FCC
- How working for one organisation for 15 years provided the opportunity to get some stability and build a foundation for his career
- Challenges that Scott has overcome in his career
- The key attribute he believes you need to be an effective leader
- The individual traits he looks for when hiring
- Scott’s views around the current AML program effectiveness
- Some ways we could become more effective and reduce the cost of AML
- Scott points out some of the roadblocks in a KYC utility
- Job mobility and how it advances an individual's career
- What Scott is doing as a leader in terms of keeping the team together and focused on what they need to be achieving now that they are all working from home
- How he manages pressure and stress
- Scott’s passions outside of work.
Market Update - Australia
14m · Published- High level overview on the market
- Significant levels of activity in the banking sector
- Discussion on the sectors of FCC, Compliance, Internal Audit and Risk.
- Activities in the Superannuation and Asset Management Sectors
- Key points in the Insurance Sector.
- Conclusion on thoughts in the market for 2020.
Three Lines of Defence has 18 episodes in total of non- explicit content. Total playtime is 9:26:23. The language of the podcast is English. This podcast has been added on October 28th 2022. It might contain more episodes than the ones shown here. It was last updated on February 26th, 2024 23:44.