Shakeel Hasham

Shakeel Hasham T - E-UK national Experience Risk Management (line 1 and line 2 risk) – operational risk, compliance risk, credit risk, liquidity risk, market risk, strategic risk, ethics and reputation risk and Internal Audit (line 3) co-sourced and outsourced advisory and execution across Corporate Banking, Retail Banking, Investment Banking, Technology & Operations, Markets, Derivatives, Asset Finance, Bancassurance, Leasing, Finance Tax – International Tax, Indirect Taxes, Compliance, R&D, Implementation across Investment banking, Corporate banking, Retail banking and Wealth management April 2022 – April 2025 Director Risk Management NCBA Group Plc Spearheaded loan management resulting in KES 37m PBT from Corporate Bank Credit book remediation Facilitated Bancassurance remediation for outsourced income generating KES 290m PBT Executed Compliance remediation of non-resident foreigners on-boarding resulting in CASA deposits of KES 2bn Facilitated Compliance remediation for Mpesa Holding account business producing monthly liquidity of KES 10bn Accomplished FATCA remediation across more than 1000 accounts in 7 months attaining full compliance Spearheaded Compliance remediation addressing Data breaches (DPA) achieving KES 5m in saved fines Orchestrated productive Divisional Risk Management Committees (DRMC) for remediation of Risk, Compliance and Audit findings by division (Corporate, Retail, Markets, Asset Finance, Bancassurance, Investment Banking): Achieved Audit closure rates 90% annually Achieved Risk Remediation rates 75% annually Team training and development – established performance metrics and evaluated staff to promote continuous improvement Sector experience From Sept 2013 to Dec 2021, Management Consulting with Grant Thornton UK as a consultant (Director) to provide Risk Management, Compliance and Internal Audit co-sourced and out-sourced consultancy to the following high-profile organizations (not all are listed): Financial Conduct Authority – Internal Audit co-source – Financial Crime Compliance Reviewed Financial Crime Compliance assessment policies, procedures, controls, and systems to validate compliance with regulatory demands and alignment with industry best practices Evaluated implementation of policies and procedures to ensure management-designed controls are enforced effectively and mitigate risk Barclays Bank PLC: Quality Assurance (“QA”), Case Reviews and Operational Risk Management QA across Remediation Portfolio addressing conduct risk, consumer credit regime, mortgage markets, lending portfolio, tax, and FX Developed and executed processes for reviewing and testing for accuracy, appropriateness of all customer communication encompassing complaints, redress offers and consequential loss claims Barclays Bank PLC: Section 166 Regulatory Compliance QA and Case evaluations for remediation of loan misselling involving interest rate hedging products: Ensuring quality, consistency and accuracy of the end-to-end processes Document, design and testing internal controls while providing assurance European Bank for Reconstruction and Development – Internal Audit Conducted Independent evaluation of sanctions screening and transactions monitoring tools Crisis response and Business Continuity Management testing NatWest Group – Ring Fenced Bank – Internal Audit Formulate comprehensive risk-based audit plan specifying scope, nature, and timing of audit activities Analyse internal control structures’ effectiveness at all levels and communicate significant deficiencies to senior management and audit committee Connective Lending (P2P) – Compliance Management Directed compliance management to ensure regulatory adherence for Financial Crime Compliance and Sanctions screening Managed Transactions Monitoring systems to detect and report suspicious activities Citigroup UK – Compliance Assurance Markets, Wealth Management: Developed risk-based annual audit plan outlining scope, nature, and timing of audit activities Developed internal audit procedures and audit programs to ensure effective focus of detailed audit work Facilitate presentation and agreement of audit comments and recommendations with management Societe Generale: Internal Audit and Controls Testing Finance internal audit: Developed and tested controls and processes for end-to-end finance internal audit Conducted operational effectiveness testing to identify areas for improvement Prepared comprehensive audit reports to summarize findings and recommendations May 2012 – June 2013 Managing Director FTI Consulting Global Tax Management and Financial Crime Compliance advisory Implementing risk frameworks, policies, procedures for Financial Crime Compliance Developing risk frameworks, policies, procedures for International Tax and Indirect Taxes October 2011 – May 2012 Business Development Head Grant Thornton UK Optimized Internal Audit functions and operational effectiveness across Markets, Credit and Finance Cultivated strong networks across the organization and with external stakeholders to secure support for business plans Established successful alliances to ensure collaboration and drive business initiatives Developed comprehensive internal end-to-end process reviews and reporting systems for clients May 2007 – June 2011 Director Barclays Bank PLC Directed implementation of Governance and Control frameworks across banking sectors Managed transfer pricing and VAT strategies achieving tax savings of GBP 100 million Developed in-house documentation for functional analysis and Masterfile reports Led planning and execution of audits within investment and retail banking areas Produced management information reports on internal reviews and regulatory changes Delivered tailored training programs to enhance compliance understanding Cultivated relationships with management and stakeholders to support strategic initiatives September 2000 – May 2007 Director UBS Directed global front office trading and sales, finance business and audit reviews Executed comprehensive audits within investment banking ensuring strategic planning and resource allocation Conducted In-house functional analysis and prepared Masterfile reports for compliance Managed Transfer pricing across EMEA, USA and APAC achieving Tax savings of CHF 150m Cultivated relationships with stakeholders to enhance collaboration and communication Trained and mentored a team of 10 staff members, fostering professional development June 1999 – August 2000 Senior Consultant Arthur Andersen UK Developed and implemented audit plans, strategies, and assurance frameworks Managed stakeholder relationships to ensure alignment with organizational goals Conducted Internal audit of the FX and Rates functions to assess compliance and efficiency Prepared internal audit reports promptly, providing actionable recommendations for controls Maintained effective communication with relationships to enhance collaboration September 1994 – June 1999 Senior Consultant KPMG UK Conducted Internal and external audit for financial service companies Developed and implemented a compliance monitoring and assurance framework Executed Internal Audit of the Interest Rates Derivatives function Managed stakeholder relationships to ensure project alignment Oversaw overall project management ensuring prompt completion of reviews Certification ICAEW, ACA (Associate Chartered Accountant) Education August 1994 Master of Science Economics University of Bristol, Bristol, United Kingdom July 1992 Bachelor of Science Economics with Statistics University of Bristol, Bristol, United Kingdom Languages English First language Kiswahili Gujarati Hindi