Thomas Dodd
Chief Compliance Officer
More than 20 years' experience in senior international roles managing regulatory, Anti-Fraud, AML, governance, operational, compliance and audit risks
What I can bring to a Board:
• Hands-on deep domain experience of regulatory compliance, corporate governance, Anti-Money Laundering & Anti-Fraud risk; operational and financial issues and policy compliance
• Successful record of managing numerous projects, processes and initiatives – strategic reorganizations, project implementations, creation of new teams, budgeting and accounting changes, hiring, system implementation, legal case oversight, internal and external fraud investigations, implementing minimum corporate governance standards, corporate social responsibility standards, code of ethics implementation post-IPO
• Prior Director-level roles: Non-Executive Director, Leasing subsidiary; President of Charity foundation
Deep domain experience of:
• Running the introduction of cutting-edge Anti-Money Laundering and Anti-Fraud client on-boarding verification controls
• Running the Client Ombuds and Employee Ombuds teams
• Acting as the Regulatory single point of contact for a banking group
• Owning the group’s policy framework and governance structure
• Coaching Management Board and Supervisory Board executives on key issues of corporate governance
• Introducing a groupwide Integrity programme covering whistle-blowing, conflicts of interest, improper payments and contact with competitors
• Introducing a modular-based employee Compliance training program, mandatory for all employees and including AML & Anti-Fraud training, training on the Code of Ethics, data privacy as well as regulatory compliance
• Running groupwide Corporate, Social Responsibility and volunteer programs
• Leading on-site regulatory bank examinations to fully assess Capital Adequacy, Asset Quality, Management, Profitability & Liquidity; assessed operational and technological infrastructure, business continuity planning; identifying financial provisioning shortfalls and governance & control weaknesses
• Leading initiatives to implement a Regulatory Grading System, balanced scorecards and KPI metrics for financial institutions, financial brokers, money exchanges and independent financial advisors
