1. Curriculum Vitae
Richard Kirkham
Summary:
A highly experienced operations professional with extensive expertise across the banking and financial services
sectors. In-depth knowledge and expertise across assurance testing, remediation and reconciliation with a strong
focus on implementing and maintaining processes that support regulatory and business control as well as manage
risk. Applies analysis and attention to detail in all activity to complete work effectively and accurately. Significant
skills in reviewing end to end processes and establishing new procedures to maintain high standards. Able to work
under pressure and on own initiative whilst consistently meeting all targets and deadlines.
Professional experience
Career History
UBS AG. July 2014 – Present. CONTRACT
Role: Business Analyst and SME
• Writing process flows for present and future state's after interpreting/understanding business requirement's
in response to changes in regulatory market initiatives prior to BRD drafts.
• Writing BRD's and contributing to status updates of project's to key stakeholders with the need to meet new
operating models prior to full UAT and regression testing.(SBL/Prime services)
• Performing due diligence to make sure all stakeholders/business managers agree to BRD with regular
updates before sign off. Inclusive of collating user requirement, functional and non-functional
specifications.
• BA for agent migrations, system flow changes and SWIFT standard releases e.g. recent Spanish reform
involves new SWIFT formats and T2S. A recent agent migration needed transfer of positions and SBL
returns needed large process flow and static changes which needed full front to back testing due to large
business flow re-build.
• Currently BA to new re-hypothecation flow in Prime Service systems which has entailed extensive re-
structuring and process/reconciliation changes.
• Compiling strategies towards rebuilding of assurance testing in order to automate and improve
effectiveness.
• Point of escalation from offshore or from FO desk for Operation processes for any potential risk/gap in
knowledge. Operations representative for PEX, LEAN improvements and business re-development.
Working closely within "working group" collating operation data for improved process efficiency and
business re-engineering.
• Risk manager and SAR representative. Chairing daily onshore/offshore escalation risk call. Preparing
weekly commentary for senior management SAR meeting.
• Managing offshore processing, accreditations, SOP's: Video conference accrediting offshore staff members
to make sure they reach expected level of skill. Amending / re-writing SOP's when gaps are identified and
presenting to senior management for sign off in SAR meetings.
UBS AG. July 2013 – July 2014. CONTRACT
Role: Business Analyst
• Change lead for operations implementation of entire new entity for Fixed Income flow across all markets.
• Prepared business requirement documentation and liaised with IT and other key stake-holders for affected
business areas to co-ordinate IT remediation schedules. Responsible for BRD contribution and follow on to
full implementation of project and ensuring compliance with external regulatory bodies.
• Responsible for checking UAT test environments are in line and up to date with latest "production cuts"
• Maintaining migration Run Book tasks and reporting directly to central control, key stakeholders,
consultant's/auditors for status updates on timelines.
• Liaising with stakeholders and IT to identify changes/ functional requirements are met and signed off by
relevant stakeholders for BRD.

2. • Representing Fixed Income team change team to senior management/steering committee with regards to
progression of project pack.
• Heavily involved with writing test packs for Functional, F2B, dress rehearsals and regression testing.
• Working closely with RAD team to build and implement new reconciliations tool for conversion dress
rehearsals and "go-live"
• Working with relevant teams to identify controls and changing of KPCI's/EUA's to make sure operations
are in line with risk control.
• Making sure RTB ("Run The Bank") reports function correctly with changes and risk unaffected when
internal changes have been implemented. Many regulatory reporting files were identified, changed and
tested to make sure all were meeting internal/external regulations.
• Conducted testing for a new business flows for transaction reporting to regulatory body including data
analysis.
UBS AG. July 2008 – July 2013. CONTRACT
Role: UBS Client Service Account Manager for Brokerage Services and Prime Brokerage Services) FI
and EQ
• Liaising between client and operations RE any trade/risk related queries.
• Advising client with regards to their risk across global equity/fixed Income mkts.
• Improving client reporting mechanisms
• Escalation point with regards to client problems.
• Member of multiple award winning client services team (Z-Yen).
• Receiver of individual client services award.
• Responsible for on-site client visits
• Improving STP rates (both client and internal)
• Reducing overall risk and improving money management systems
• Creating client MIS and other means of client awareness
• Advising client by means of regular offsite visits on UBS improvements
• Overlooking the progress of client interest claims/Corporate Action's
• Managing offshore/outsourced teams. Equities and Fixed Income – including repos.
• Initialising and promoting new CRM platform across bank and promoting MIS
• Re-writing accreditation procedures for offshore teams across operations
• Questioning and contributing to management SAR reports and PEX improvements.
• Reviewing and re-writing client reports for visits and in-house client matrix.
• Working with client to advise and improve efficiency with reporting and general queries.
UBS AG. February 2006 – July 2008. CONTRACT
Role: Prime Brokerage: Investigations - Euroclear, European Domestic Settlements and Emerging
Markets SME Officer)
• Agent and system migrations (both European and Emerging Markets).
• Initialising off-shoring and supervising SOP write-ups and reviewing agent SLA’s.
• Supervising trade processing of Emerging Markets.
• Supervising daily reconciliations (both stock and cash of Emerging Market trades).
• Overseeing the introduction of new settlement business in Operations eg. African markets.
• General process improvement and introduction of new process flows involving any operational procedures.
• Collating any outstanding issues for weekly SAR management meeting.
• Reducing risk and overseeing functional changes within PB operations.
• Heavily involved with writing and delivering SOP’s for offshoring.
(Vast Operational experience can be expanded when requested on the below roles)
Bayerische Hypo-und Vereinsbank. October 2004 – February 2006. PERMANENT

3. Role: Fixed Income settlements and Bond Futures, Middle Office/Back Office
UBS AG. February 2003 – July 2004 CONTRACT
Role: Prime Brokerage: Investigations, Euroclear and domestic settlements
Commerzbank AG. September 00 - July 03. CONTRACT
Role: Investigations, Cedel and Domestic settlements
Cogent Investment Management. February 00 – September 00. PERMANENT
Role: Working within Market Operations involving securities and settlement of trades
Schroder Investment Management Luxembourg S.A. October 99 - February 00. PERMANENT
Role: Working within the Transfer Agency Department/Unit Trusts
RBS Trust Bank. May 99 – October 99. CONTRACT
Role: Working within 3rd
Party Administration for Direct Line and Manek Investments
Jupiter Unit Trust Managers. November 98 – April 99. CONTRACT
Role: Working within the DMA Department working closely with Unit Trusts / Peps
Vendor systems: Martini, Euroclear, Clearstream, Global 1, Creation Online, Crest, DTC, Trax, SWIFT Alliance,
TLM, Microsoft Office: Visio, Word, Excel, Powerpoint
Skills: Cash equities, SBL, Fixed Income trade support, client support, supervisor, client service, prime brokerage,
Business Analyst, Change, Migrations, SME
EDUCATION TO DATE:
British International School, Cairo, Egypt (Sept 1983 - Dec 1986)
St. Edmunds College, Ware, Hertfordshire (Jan 1987-July 1994)
9 GCSE's
3 A Levels and one distinction in Special Paper
Currently studying for honours degree with Open University
INTERESTS:
Encouraging two daughters with their activities.
Keeping fit, variety of sports and reading.
Miscellaneous EAST ANGLIA Branch Organiser and editor for Open University Geological Society newsletter's.
Contact: Mobile number 07974 339917
Email: kirkham.richard@yahoo.co.uk