Operational Risk - Regulatory Compliance - Corporate Governance - Interim Management

Compliance and Operational Risk Frameworks
Assessing and tracking Key Performance Indicators
Client Money & Asset Safekeeping (CASS)
Financial Promotion and New Product Approval Assessments
Developing Robust Systems & Controls and Oversight Solutions

A leading practitioner, strategically minded with a pragmatic approach to risk based compliance, business process and control solutions. Alastair has led and been involved in scoping and overseeing Operational Risk, Corporate Governance and Regulatory Compliance frameworks.  He has strong assessment and advisory skills and has built robust compliant operational structures and implemented business plans.
Alastair is a former Head of Compliance and Operational Risk. He has worked at Investment Banks, Trust and Investment Management Companies. He has spent his career in the Financial Services sector primarily focusing on the business management aspects of Securities Services, Investment Management and retail Self Select investment products. He has held a number of directorship and leadership positions at world class firms such as Deutsche Bank, Citigroup and Bankers Trust Company of New York. His most recent assigment was offshore in the British Virgin Islands at a Legal and Corporate Services firm as the Head of Operational Risk and New Business Acceptance.

SFA General Representative (pre 2001), FSA Approved Person and BVI FSC registrations:
2009 - 2010 Registered with the BVI Financial Services Commission (Senior Officer)
2005 – 2007 FSA: CF1 Director - CF10 Compliance Oversight - CF11 Money Laundering
1999 – 2001 SFA: Deutsche Bank AG and Morgan Grenfell
1990 – 1999 SFA: Bankers Trust International and Bankers Trust Company


Alastair Newman Email: a@sysc.co.uk
Edinburgh, Scotland, United Kingdom
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