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Rebecca Gale BA (Hons), MA
39A Undercliff Road, London SE13 7TU Tel: 07702 009208
Profile A highly ambitious and motivated Senior Leader with a wide-ranging experience in compliance, operational and credit risk, Sarbanes-Oxley, the enhancement and delivery of training and development, and operational management. Consistently recognised as a high achiever who is focused on delivering all work to a professional standard. An excellent communicator who is able to successfully build and lead a team to develop and deliver new business strategies, in addition to managing pressurised relationships with key stakehol-ders. Excellent knowledge and understanding of operational risks and controls, with the ability to create and implement frameworks across large and diverse organisations. Able to analyse detail at the micro level as well as being able to see the bigger picture; very supportive of both her CRO and team, pragmatic, able to delegate effectively and trust others, and encourages team working and commitment to get the job done. Extremely hard working and focused on team success; has studied for the Lloyds Senior Manage-ment Licence, has completed the Group-wide Future Leaders Programme for all of Lloyds Banking Group, and was recently elected to become a member of the Group IT Leadership Coalition. Key Achievements
• Governance Theme Lead for the IT Resilience Programme at Lloyds Banking Group, a £600m programme aimed at improving the resilience of technology within the bank.
• Responsible for delivering and implementing a Group Technology Policy, the Group IT Risk and Control Framework, improved control and oversight over EUCs, implanting an industry leading Technology Forward View of Risk report, an improved controls culture within Group IT, automated controls testing, enhanced risk MI, tools and processes, risk and control training and improved risk and control capability within the IT BUCF (Business Unit Control Function) as part of the Governance Theme.
• Rolled out and embedded operational risk strategy and framework within the Group IT Operations Directorate at Lloyds Banking Group, working with the GITO Board to understand the risk and control landscape and undertake targeted risk reviews with a view to improving processes and systems.
• Transformed the function structure and approach of the Group IT Operations Risk team from a traditional ‘compliance’ function with standard objectives, by developing specific targets for the team in order to deliver value-add activities for Group IT Operations.
• Successfully delivered an improvement project for Supplier Management, and in particular Supplier Risk, for Group IT at Lloyds Banking Group.
• Selected to attend the prestigious Lloyds Banking Group Future Leaders Programme; 30 places available out of a popula-tion of c.130,000.
• Assisted Head of Operational Risk in setting up a new Operational Risk Support team both at Barclays and Lloyds, increasing the team size from 2 OTE to 9 OTE and 1 OTE to 7 OTE respectively.
• Created, developed, implemented and delivered a new Operational Risk training programme for both the Barclays Group and Alico, specifically aimed at the Emerging Markets and the Western Europe Divisions.
• Implemented a successful Relationship Management initiative between the Operational Risk Support team and each cluster of the Barclays Group, which resulted in driving efficiencies and reducing ad hoc operational risk queries.
• Developed and implemented an web-based in-house Risk Management system at Alico, with the aim of streamlining the capture of risk data and enhancing reporting capabilities. The system was later rolled out across Western Europe.
Career History
Head of Operational Technology Risk, Insurance Resilience Review, Group IT Lloyds Banking Group January 2015 – Present
Reports into the CRO for Group IT.
• Business Unit Control Lead (IT BUCF) for the Insurance Resilience Review Programme at Lloyds Banking Group, the second phase of the Banking Resilience Review, covering the Insurance business specifically (previously out of scope for the 2013 review).
• 1st Line of Defence Lead on the review, working with the PwC review team, Group Operational risk and the Programme Central team to ensure the correct Core Business Processes (CBP) are selected and provide IT BUCF sign off on behalf of the Chief Risk Officer for IT for all final report outputs.
• Leads of team of 5 FTE, specifically seconded to be the IT BUCF Insurance Resilience Review team for the IT BUCF. The team’s role is to assess the operational risks that PwC consider to be present following each CBP workshop, including inherent and residual risk rating, mitigating insurance controls and remediation plans for any risks outside of appetite.
• As BUCF Lead, works with the business to agree i) risk appetite for observations included in the PwC report, and ii) any remediation plans required to ensure Group resilience appetite is met.
• A key member of both the Group IT BUCF and IT Directorate leadership teams; key contributor to both strategic and operational decision making by providing insight, challenge and support.
Head of Operational Risk, Risk & Controls & IT Resilience Remediation Lead, Group IT Lloyds Banking Group January 2014 – December 2014
Reported into the CRO for Group IT.
• Governance Theme Lead for the IT Resilience Programme at Lloyds Banking Group, a £600m programme aimed at improving the resilience of technology and controls within the bank.
• As the Governance Theme Lead, and Head of Project Delivery, responsible for delivering and implementing a Group Technology Policy, improved control and oversight over EUCs, implanting an industry leading Technology Forward View of Risk report, automated controls testing, and enhanced risk MI, tools and processes.
• Sponsor of the Group IT Risk & Control Programme aimed at delivering an improved controls culture within Group IT in conjunction with creating and implementing an improved and enhanced risk and control capability within the IT BUCF (Business Unit Control Function).
• Created, delivered and embed a Risk and Control Framework for Group IT. • Lead IT Remediation programme for any observations highlighted in the 2013 IT Resilience Report that did not meet the
Group’s newly established resilience appetite. Presented conclusion and outcome of the programme to the PRA in September 2014.
• Responsible for championing Risk Management across Group IT. • A key member of both the Group IT BUCF and IT Directorate leadership teams; key contributor to both strategic and
operational decision making by providing insight, challenge and support. • Enhanced controls testing capability within Group IT by recruiting 15 FTE control tester SMEs to form the Risk & Control
pool. • Leads and coaches a team of 26 Risk and Control Risk Partners who engage at all levels of the IT Directorates to identify
access and manage their risk portfolio. • Owns, as part of the Group IT BUCF leadership team, the overall Strategy, Operating Model, and Change agenda for
Group IT BUCF
• Defines and shapes the Risk and Control management strategy and practices that will strengthen Group IT's performance.
• Provides thought leadership across Group IT BUCF to challenge, inspire and develop the overall Risk Management capability of the organisation
• Fosters a risk aware culture within Business Unit/s ensuring adequate training and risk expertise is provided across their operations
• Leads the Codes of Conduct 1st Line of Defence team, who are responsible for working with the Business Unit, Group Operational Risk & Audit to ensure compliance to the 41 payments codes to the bank is part of.
Lead Risk Partner, Group IT Operations Lloyds Banking Group January 2013 – December 2013
Reported into the CRO for Group IT.
Reporting directly into the Director of Group IT Risk; promoted to become a member of the IT Risk Board and Senior Leadership Team. Day to day management of 6 Risk Partners.
• Formed an effective partnership with Group IT COO and his Senior Leadership Team (SLT) to provide risk management support, identifying, assessing, responding to and reporting on applicable risks
• Responsible for championing Risk Management across Group IT Operations.
• A key member of both the Group IT BUCF and IT Directorate leadership teams; key contributor to both strategic and operational decision making by providing insight, challenge and support.
• Leads and coaches a team of Risk Partners who engage at all levels of the IT Directorates to identify access and manage their risk portfolio
• Owns, as part of the Group IT BUCF leadership team, the overall Strategy, Operating Model, and Change agenda for Group IT BUCF
• Defines and shapes the Risk and Control management strategy and practices that will strengthen Group IT’s performance.
• Provides thought leadership across Group IT BUCF to challenge, inspire and develop the overall Risk Management capability of the organisation
• Developed and implemented a clear strategy for the GITO BUCF team, focusing on risk education & awareness, establishing appropriate roles & responsibilities for risk management across the Directorate, and enhanced risk & control assurance reviews.
• Successfully delivered a risk improvement project for Group IT Supplier Management, in particular improvement in supply chain and assurance risk.
• Proactively identifies and performs assurance activities based on the current and future risk profile of Group IT
• Collaborates with Senior Managers across the three Lines of Defence (e.g. Group Risk, Internal Audit) to identify, share and implement best practices across the organisation
• Provides appropriate risk reporting to the Business Unit Director and their Leadership Team to give them adequate understanding of their risk profile and controls
• Leads the management of Business Unit relationships with Internal/External Audit, ensuring all High Risk Audit Issues are addressed in a timely manner
• Where required, ensured that the Business Unit/s SOX controls are reviewed and updated on a regular basis
• Fostered a risk aware culture within Business Unit/s ensuring adequate training and risk expertise is provided across their operation
• Ensured regular “deep-dive” and scenario risk reviews are undertaken within Business Unit/s
• IT BUCF Senior Leadership Team sponsor of the BUCF Colleague Engagement Forum
• Member of the Group IT Engagement Advisory Forum
• Actively involved in the graduate recruitment and development: acted as an assessor at LBG Graduate Assessment Centre Days, represented the bank at various University Graduate Fares, mentor to several former graduate scheme colleagues
• Implemented a COBIT-based risk and control framework and testing regime for Group IT Operations, and working with the Central Controls team to roll this out across all areas of Group IT to improve the robustness of internal control testing across the Group.
• Lead several key assurance programmes across Group IT Operations, such as Resource Management, User Access Management and Efficiency of the Project Management Practice (which consists of >1000 colleagues alone).
• Lead a risk education & awareness programme throughout Group IT Operations, with the aim to improve Group IT’s understanding of the type of inherent risks they carry and how to actively monitor and managed them.
• Member of the Quality/Delivery Assurance Working Group across the programme and project community, linking finance, risk and portfolio management activities into one coherent, robust assurance process for all £20m or more Group IT Projects.
Senior Risk Partner, Group IT Operations Lloyds Banking Group February 2012 – January 2013
Promoted to the role of Senior Business Partner after 7 months in the role as Risk Partner, heading up a team of 3 Risk Partners and directly aligned to all Directors on the Group IT Operations Board. Promoted to a member of both the Group IT Operations Board and Group IT Steering Committee Board, assisting in the setting of the risk appetite and strategy for the Directorate and having a direct say in the remediation of key risk activities.
• Lead effective day to day management of risk profile for the Business Unit/s, identifying and addressing poor risk management
• Lead the understanding of the control environment within Group IT Operations and support any required improvements to ensure its effective design and operation
• Built risk reports for the Business Unit Director and the Senior Leadership Team to give them adequate understanding of their risk profile and controls, and provide a detailed weekly update at the GITO Board.
• Lead the management of Business Unit/s relationships with Internal/External Audit, ensuring all High Risk Audit Issues are addressed in a timely manner
• Ensured that the Business Unit/s SOX controls are fit for purpose • Actively fostered a risk aware culture within the Directorate, identifying needs for additional training and risk expertise • Undertake regular "deep dive" and scenario risk reviews within Group IT Operations • Single point of contact for both the Group IT Chief Operating Officer and Group IT Operations Directors and Senior
Managers for all their risk and compliance needs, acting as a conduit to all Risk and Compliance Functions throughout the bank, as well as with other Divisions that have a relationship with Group IT Operations.
• Strong and effective working relationships with all senior stakeholders, resulting in the opinion and involvement of Risk being sought, and having a direct impact on the direction of key business activities.
• Excellent knowledge of the operational and regulatory complexities impacting the business, from both an operational and strategic perspective
• Lead several key transformation programmes within Group IT Operations Risk, such as the enhanced Risk Management framework and process, and Supplier Management Governance framework.
Risk Partner Lloyds Banking Group June 2011 – January 2012
Worked as a Risk Partner aligned to the Group IT Operations Directorate within Group IT at Lloyds Banking Group, supporting the Group IT Chief Operating Officer with Risk activities and a population of 4000 colleagues. Assisted in identifying, assessing and mana-ging the Directorate’s Operational Risks. Developed an in-depth understanding of the Business Unit and used risk knowledge and ex-perience to identify actual and potential risks and worked with the business to take the appropriate action.
• Planned and delivered of Risk and Control and Group IT Risk projects and business as usual activities. • Worked closely with Managers and other stakeholders of Business Unit/s to identify, assess, respond to and report on
applicable risks • Maintained and improved controls across Business Unit/s by assisting in identifying and performing assurance activities
based on the current and future risk profile of Business Unit/s • Supported and guided other members of the team in the fulfilment of their individual accountabilities • Worked with peers across the three Lines of Defence (e.g. Group Risk, Internal Audit) to identify, share and implement
best practices across the risk lifecycle • Deputised for Senior Business Partners as well as across other areas of Group IT Risk responsibility where necessary • Leading on several assurance projects, including employment vetting, physical security and supply and demand portfolio • Developed the Risk Management knowledge and capability of the Group IT Operations Directorate
Operational Risk Analyst MetLife (formerly Alico) Feb 2010 – June 2011 One of two Operational Risk Analysts responsible for the Western Europe and UK Risk Management Function, working closely with both the Operational Risk Manager and Chief Risk Officer.I successfully developed and implemented an in-house Risk Management system, which had a significant impact in the way the region monitors and reports its risk and control profile. I also composed and deve-loped an integrated mandatory Risk Management CBT training module for the whole region, which involved closely working with a spe-cialist financial services training software company, Eukleia, to deliver a comprehensive course and skills test that would convey, as well as challenge, the concept of risk management within a financial services organisation. I was also responsible for the product approval and corporate initiative process from a risk management perspective; as well as tracking and monitoring all new products and initiatives across the region, I was responsible for assessing each of the proposals from an operational risk perspective, suggesting and imple-menting improvements to each proposal, where necessary, and ensuring all issues associated with any new initiative is completed be-fore projects are completed and products are launched. Operational Risk Support Analyst Barclays Bank PLC Sept 2008 – Jan 2010
Team leader for the Barclays Group Operational Risk system support team; part of project team implementing a new operational risk system across the Bank and now the main contact for support, maintenance, compliance and operational risk queries arising from the Bank’s strategic operational risk system. Also the first point of contact for providing training and development on understanding Group operational risk policy and the use of the bank’s strategic operational system.
FCM (SOX) Financial Analyst Barclays Bank June 2006 – Sept 2008
Developed a strong rapport with senior stakeholders and highly regarded for ability to effectively communicate complex ideas accurate-ly and efficiently. Consistently focused on customer primacy and developed monthly management meetings to work more closely with senior stakeholders to communicate issues and resolve incidents on the bank’s Sarbanes-Oxley system FCM.
Key Strengths
• Highly analytical and can present complex ideas in a simplified and concise way. • Quick learner who understands complex financial and operational processes. • Suggests improvements in order to create efficiencies and implement robust controls. • A key team member who is focused on the team’s success. • Self starter and highly motivated and dedicated individual • Resourceful, displays initiative in tackling issues and is solution-orientated • Ability to easily motivate others and create an atmosphere of continuous improvement • Enthusiastic personality coupled with a positive attitude to work. • Highly effective communication skills and easily able to establish effective relationships with key senior stakeholders • Competent in MS Excel, PowerPoint and Word
Education
Lloyds Banking Group Future Leaders Programme Management of Risk Practitioner Certificate CISA – In progress Prince 2 Foundation – In progress Control Objectives for Information and related Technology (CobiT) Foundation Certificate CISI Advanced Certificate in Operational Risk IAQ Operational Risk (Chartered Institute of Securities & Investments) Certificate Master’s Degree: Post-modern literature – University of Newcastle upon Tyne Bachelor’s Degree: English Literature (2:1) – University of Newcastle upon Tyne A level: English Literature (A), Philosophy of Religion and Ethics (A), History (B) AS Level: Psychology (B) S Level: Philosophy of Religion and Ethics (Merit) GCSEs: Achieved 10 A*-B grades GNVQ: IT Second Level 1998
Memberships ISACA Member of Women in Banking and Finance Participates in Toast Masters London.
