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Senior banking profile specialising in people, business , risk & project management
Helen Hodgkins
,
Kettering, United Kingdom
Experience
Other titles
Skills
I'm offering
I am a successful, highly driven individual who has over 18 years of experience in investment banking. Within this period, I have undertaken various operational roles from processing corporate actions, managing teams, project management and global risk & business management.
I have a detailed understanding of corporate actions front to back as well as the key elements that feed into this process (e.g. settlements). Due to the expertise in this area, I have undertaken numerous strategic projects e.g. partnering with IT to deliver systemic enhancements, restructuring, involvement in industry forums and location strategy.
I have also undertaken technical roles in project management, risk and business management that have allowed me to work closely with senior stakeholders to deliver process improvements whilst mitigating risk and/or controlling department finances to meet budget & headcount targets.
The varied experience I have built up over the last 18 years has allowed me to be involved in a multitude of exciting opportunities.
I have a detailed understanding of corporate actions front to back as well as the key elements that feed into this process (e.g. settlements). Due to the expertise in this area, I have undertaken numerous strategic projects e.g. partnering with IT to deliver systemic enhancements, restructuring, involvement in industry forums and location strategy.
I have also undertaken technical roles in project management, risk and business management that have allowed me to work closely with senior stakeholders to deliver process improvements whilst mitigating risk and/or controlling department finances to meet budget & headcount targets.
The varied experience I have built up over the last 18 years has allowed me to be involved in a multitude of exciting opportunities.
Markets
United Kingdom
Industries
Language
English
Fluently
Ready for
Ongoing relation / part-time
Available
My experience
2001 - 2018
job
Operations Vice President
Morgan Stanley.
Client Ops Global Business Manager (Vice President) - Nov 17-Aug 18
• Managed a global team of 5 people
• Business Management – Direct and control silo finances to meet budget targets (~$100mm in total).
• Managed headcount expenses and hiring approval process for FTEs, Temps and Consultants (~400 people in total over 10 locations)
• Led annual budget process for the Department working with central COO Ops & Finance teams
• Monthly business reviews (MBRs) – Analyse and present MBRs to each silo head and Client Ops global head (budget vs. actual)
• Location strategy – (i) Assist senior stakeholders to devise future strategy and timeline (ii) PMO finalised location strategy programme
• Validated Firm allocation process for the Department
• Established team process improvements e.g. onboard training & procedures, coaching
• London Event planner for Global Ops Awards for Excellence
EMEA Client Money Team Manager (Vice President) - May 17–Oct 17
• Seconded to manage a team of 5 people temporarily due to risk incident spike
• Manage day to day client money exceptions and ensure resolved prior to market cut-offs
• Devised and presented strategic solution to mitigate risks attached to 2 key processes e.g. devised process flows of current and new proposed process, obtained signed off by all impacted Ops and IT teams and prioritised with IT for 2019 delivery
Client Ops PMO (Vice President) - Jan 17-Apr 17
• Facilitated and PMO Client Ops Client Service Excellence Program
• Designed and established a Client Ops Competency Training Program for all global officers and risk personnel to receive classroom based regulatory training - 10 modules (90 sessions in total) to ~200 people globally over a 12 month period
• Facilitated and organised the Client Ops senior management communication strategy for open forums, monthly strategy updates, strategy program, innovation workstreams (LEAN/AvA and CTB) and monthly business updates
Clearing Ops Global Risk Manager (Vice President) - Jan 14-Jan 16
• Managed a global team of 10 people
• Owned and delivered Federal and Clearing risk agenda
• Provided leadership and project governance to silo risk managers for risk deliverables; ensured consistency and quality assurance across Clearing Ops
• Primary interface to Clearing Ops Head and COO providing executive summary on risk deliverables, management reporting and key silo/sub silo updates
• Worked with Clearing Ops Head and COO to set global agenda for Clearing Ops e.g. aided with the centralisation of the Clearing Ops risk team
• Partnered with stakeholders in Ops/division to influence the federal risk agenda and ensured it worked for Clearing e.g. led division and silo RCSA strategy and programme
• Worked as an independent partner to mitigate risk and improve processes and controls to pre-empt risk issues occurring e.g. led Greece exit contingency planning
Listed Derivatives Global Risk Manager (Vice President) - May 12-May 13
• Managed a global team of 4 people
• Owned and delivered the Ops Risk Business Plan e.g. RCSA, BCP, metrics transition to Mumbai
• Developed from scratch a comprehensive RCSA for silo
• Lead WSP Remediation Project
• BCP Ops Transference Plan (OTP) – Improved the tracking and management of the OTP deliverable
• Successfully transitioned Metrics function from Baltimore to Mumbai
• Leveraged broad network across Ops, BU and other groups (LCD) to achieve goals
Position Services and Tax Utility Global Business & Risk Manager (Vice President) - Apr 10-Apr 12
• Responsible for the department’s expense management & analysis and headcount management including FTEs, Temps and Consultants for a team of ~280 people over 8 locations
• Independently managed the budget process (including delivering >10% reduction in RTB costs) and actively managed department to it
• Led creation and maintenance of Risk & Control Self Assessment (RCSA)
• Time Driven Activity Based Costings (TDABC) – Improved allocations methodology to achieve global standards and developed TDABC packs for Business Units to better understanding costings and levers to pull
• Led location strategy planning & execution
• Compiled & presented monthly Risk Reporting and Budget Expense Reviews to senior stakeholders
Corporate Actions Line Manager (Senior Manager/Vice President) - Jul 05-Mar 10
• Managed EMEA corporate actions line teams of 25 people
• Dec 2005 – Promoted to Senior Manager
• Dec 2007 – Promoted to Vice President
• Co-led functional team realignment
• Led the setting up of the new Moscow Position Services team
• Executed multiple transitions e.g. EU cash/stock optional, Russian corporate actions to Moscow
• Secondment to Glasgow for 4 weeks to cover for Glasgow Position Services Head during absence
• Project lead strategic STP system improvements for line teams e.g. 2009 development of voluntary payments via in-house platform (Scorpio)
• Established process improvements e.g. enhanced deadlines for Prime Brokerage clients, emerging market currency policy, improved cheque clearance, NA/EU gap analysis
• Industry Forum participant e.g. agreeing / sharing best practices
Corporate Actions Client Services Associate/Team Manager - Jul 02-Jun 05
• 1 of 5 people selected to join newly created client service team to sit in between Business Units and line processing teams to provide enhanced client service e.g. deadline extension, reporting, late trading
• End of 2003 became team manger of this group of 5 people
• Dec 2003 – Promoted to Manager
Corporate Actions Analyst/Associate - Jul 01-Jun 02
• Processed EMEA broker dealer corporate actions e.g. subscription, tenders, cash/stock optional front to back (announcement through to payment/risk clearance)
• Dec 2001 – Promoted to Associate
Proxy Voting Analyst - Jan 01-Jun 01
• Processed and managed all EMEA proxy voting requests for all Business Units (e.g. Prime Brokerage, Wealth Management, Firm, Employee)
• Liaised with Legal, Compliance, Settlements and local custodians to deal with any issues
• Highlighted potential focus votes to senior management
• Anticipated and mitigated risk related to client and firm voting activity
• Created and maintained comprehensive procedures & policy manuals from scratch
• Managed a global team of 5 people
• Business Management – Direct and control silo finances to meet budget targets (~$100mm in total).
• Managed headcount expenses and hiring approval process for FTEs, Temps and Consultants (~400 people in total over 10 locations)
• Led annual budget process for the Department working with central COO Ops & Finance teams
• Monthly business reviews (MBRs) – Analyse and present MBRs to each silo head and Client Ops global head (budget vs. actual)
• Location strategy – (i) Assist senior stakeholders to devise future strategy and timeline (ii) PMO finalised location strategy programme
• Validated Firm allocation process for the Department
• Established team process improvements e.g. onboard training & procedures, coaching
• London Event planner for Global Ops Awards for Excellence
EMEA Client Money Team Manager (Vice President) - May 17–Oct 17
• Seconded to manage a team of 5 people temporarily due to risk incident spike
• Manage day to day client money exceptions and ensure resolved prior to market cut-offs
• Devised and presented strategic solution to mitigate risks attached to 2 key processes e.g. devised process flows of current and new proposed process, obtained signed off by all impacted Ops and IT teams and prioritised with IT for 2019 delivery
Client Ops PMO (Vice President) - Jan 17-Apr 17
• Facilitated and PMO Client Ops Client Service Excellence Program
• Designed and established a Client Ops Competency Training Program for all global officers and risk personnel to receive classroom based regulatory training - 10 modules (90 sessions in total) to ~200 people globally over a 12 month period
• Facilitated and organised the Client Ops senior management communication strategy for open forums, monthly strategy updates, strategy program, innovation workstreams (LEAN/AvA and CTB) and monthly business updates
Clearing Ops Global Risk Manager (Vice President) - Jan 14-Jan 16
• Managed a global team of 10 people
• Owned and delivered Federal and Clearing risk agenda
• Provided leadership and project governance to silo risk managers for risk deliverables; ensured consistency and quality assurance across Clearing Ops
• Primary interface to Clearing Ops Head and COO providing executive summary on risk deliverables, management reporting and key silo/sub silo updates
• Worked with Clearing Ops Head and COO to set global agenda for Clearing Ops e.g. aided with the centralisation of the Clearing Ops risk team
• Partnered with stakeholders in Ops/division to influence the federal risk agenda and ensured it worked for Clearing e.g. led division and silo RCSA strategy and programme
• Worked as an independent partner to mitigate risk and improve processes and controls to pre-empt risk issues occurring e.g. led Greece exit contingency planning
Listed Derivatives Global Risk Manager (Vice President) - May 12-May 13
• Managed a global team of 4 people
• Owned and delivered the Ops Risk Business Plan e.g. RCSA, BCP, metrics transition to Mumbai
• Developed from scratch a comprehensive RCSA for silo
• Lead WSP Remediation Project
• BCP Ops Transference Plan (OTP) – Improved the tracking and management of the OTP deliverable
• Successfully transitioned Metrics function from Baltimore to Mumbai
• Leveraged broad network across Ops, BU and other groups (LCD) to achieve goals
Position Services and Tax Utility Global Business & Risk Manager (Vice President) - Apr 10-Apr 12
• Responsible for the department’s expense management & analysis and headcount management including FTEs, Temps and Consultants for a team of ~280 people over 8 locations
• Independently managed the budget process (including delivering >10% reduction in RTB costs) and actively managed department to it
• Led creation and maintenance of Risk & Control Self Assessment (RCSA)
• Time Driven Activity Based Costings (TDABC) – Improved allocations methodology to achieve global standards and developed TDABC packs for Business Units to better understanding costings and levers to pull
• Led location strategy planning & execution
• Compiled & presented monthly Risk Reporting and Budget Expense Reviews to senior stakeholders
Corporate Actions Line Manager (Senior Manager/Vice President) - Jul 05-Mar 10
• Managed EMEA corporate actions line teams of 25 people
• Dec 2005 – Promoted to Senior Manager
• Dec 2007 – Promoted to Vice President
• Co-led functional team realignment
• Led the setting up of the new Moscow Position Services team
• Executed multiple transitions e.g. EU cash/stock optional, Russian corporate actions to Moscow
• Secondment to Glasgow for 4 weeks to cover for Glasgow Position Services Head during absence
• Project lead strategic STP system improvements for line teams e.g. 2009 development of voluntary payments via in-house platform (Scorpio)
• Established process improvements e.g. enhanced deadlines for Prime Brokerage clients, emerging market currency policy, improved cheque clearance, NA/EU gap analysis
• Industry Forum participant e.g. agreeing / sharing best practices
Corporate Actions Client Services Associate/Team Manager - Jul 02-Jun 05
• 1 of 5 people selected to join newly created client service team to sit in between Business Units and line processing teams to provide enhanced client service e.g. deadline extension, reporting, late trading
• End of 2003 became team manger of this group of 5 people
• Dec 2003 – Promoted to Manager
Corporate Actions Analyst/Associate - Jul 01-Jun 02
• Processed EMEA broker dealer corporate actions e.g. subscription, tenders, cash/stock optional front to back (announcement through to payment/risk clearance)
• Dec 2001 – Promoted to Associate
Proxy Voting Analyst - Jan 01-Jun 01
• Processed and managed all EMEA proxy voting requests for all Business Units (e.g. Prime Brokerage, Wealth Management, Firm, Employee)
• Liaised with Legal, Compliance, Settlements and local custodians to deal with any issues
• Highlighted potential focus votes to senior management
• Anticipated and mitigated risk related to client and firm voting activity
• Created and maintained comprehensive procedures & policy manuals from scratch
My education
1996
-
2000
Bournemouth University
Bachelors, BA (Hons) Financial Services 2:1
Bachelors, BA (Hons) Financial Services 2:1
1994
-
1996
Colchester Sixth Form
A Levels, Business Studies, History & Home Economics
A Levels, Business Studies, History & Home Economics
1989
-
1994
East Bergholt High School
Secondary, 5 GCSE B-C including English and Mathematics
Secondary, 5 GCSE B-C including English and Mathematics
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