Summary
Overview
Work History
Education
Skills
Affiliations
Certification
Timeline
Generic

Lloyd Samuel Plenty

New York,NY

Summary

Experienced Leader who has built teams and frameworks and managed transversal risks across Global Markets, Global Banking and Wealth Management activities.

Overview

40
40
years of professional experience
1
1
Certification

Work History

Chief Risk Officer - CIB/AM Americas

BNP Paribas
New York, NY
07.2016 - Current
  • In charge of all credit, counterparty, market, liquidity, operational and cyber risks for the CIB Americas platform. Managing a team of approximately 120 staff.
  • Implementing the Operational Risk Management Function (current size – 45 staff) and framework after it was moved to Risk from Compliance in 2016. This meant building a strong and experienced management team, as well as extending the coverage of the team to Information, Communication, Cyber and Technology Risks in 2018. Developing a governance framework through the Wholesale Internal Control Committee (which I chair) and includes the CIB Americas CEO, COO and both 1LOD and 2LOD line management.
  • Executive sponsor for all CIB Americas Risk related Regulatory and Internal Audit remediation and recommendations. Working with the Business and Function leads as well as with Internal Audit and the Supervisory Relations Group to ensure that all recommendations have the necessary resources, prioritization and planning to allow for a timely completion.
  • Interacting with both US and European regulators through quarterly continuous monitoring meetings and specific and thematic reviews (both firm focused or horizontal).
  • Co-partnered with the 1LOD on strategic business developments such as the 2019 build of the Leveraged Debt Finance Platform, the accelerating growth of the Prime Services activity in 2020/2021 and the Financial Sponsors and Institutional Clients initiative. This has meant hiring staff with the right expertise, developing the Risk Appetite Framework, metrics and governance through regular steering committees.
  • Re-vitalize a Corporate Credit Risk function, where there had been little staff movement for several years; where the relationship with the Business units was tense and sometimes hostile. I completely restructured the team through changing the management team and bringing in new staff from outside of the Bank as well as encouraging the new managers to develop “bench” strength through the hiring of more junior staff.
  • Participating in various management leadership forums at both Regional and Global levels. Examples include the CIB Americas ExCo and Leadership Forum, the Group Risk Leadership forum and the Risk Americas ExCo.


Head of Risk Institutionals and Global Markets

BNP Paribas
New York, NY
07.2015 - 07.2016
  • In charge of all credit and counterparty risks for financial institutions.
  • Managing market, liquidity and transaction risks for the Global Markets platform

Global Head Investment Mgrs/Market Infrastructures

BNP Paribas
New York, NY
07.2011 - 07.2015
  • Constructing a global team of 100 staff (whilst based in the US) coming from a re-organization within Risk, where different teams that had never worked together needed to be molded into a cohesive unit and who were culturally very different
  • In charge of all risks related to Investment Managers (including Hedge Funds)
  • Supervision of the Prime Brokerage Platforms, Securities Services, CCP and Clearing Risks
  • In charge of all collateral and secured financing policies and reporting
  • Supervision of the connectivity between electronic trading platforms and risk systems

Co-Head of Risk Capital Markets Americas

BNP Paribas
New York, NY
07.2003 - 07.2011
  • Co-managed a team of 65 staff based in New York and Sao Paolo
  • In charge of all credit and counterparty risks for Financial Institutions
  • Managing market, liquidity, and transaction risks for the Capital Markets Platform

Global Head of Control and Reporting

BNP Paribas
London, United Kingdom
09.1996 - 06.2003
  • Built a team from scratch in 1996 (to over 100 staff in 14 countries in 2003) to manage all credit and counterparty risk controls and reporting
  • Responsibility for all credit policies and procedures development for Capital Markets, Private Banking and Securities Services
  • Executive Sponsor for Credit and Counterparty Risk Systems developments
  • Project and Business Management oversight

Head of Credit Policies and Procedures

SBC Warburg
London, United Kingdom
04.1993 - 09.1996
  • Head of Credit Policies and Procedures
  • Transaction Team Analyst

Head of Treasury Accounting and Credit Risk

Mercury Asset Management
London, United Kingdom
10.1990 - 04.1993

Internal Auditor

Morgan Grenfell Plc
London , United Kingdom
03.1986 - 10.1990

Audit Senior

Robson Rhodes Chartered Accountants
London, United Kingdom
10.1982 - 03.1986

Education

Bachelor of Science - Economics

London School of Economics And Political Science
London, United Kingdom
07.1982

Skills

  • Strong transversal risk background
  • Successfully built and managed teams of different sizes and skill sets through BAU and transformations
  • Solid collaborator across both 1LOD and 2LOD teams
  • Experienced presenter having presented to the senior global management of my current employer, board meetings and industry forums
  • Strong advocate of a diverse workplace, mentoring employees of color on a regular basis and engaged in a number of internal programs

Affiliations

  • Risk Managers Association (member)
  • Treasurer of the Capital Markets Credit Analysts Society (2006-2008)
  • Trustee Board Member of Prep for Prep (2010-2015)

Certification

Qualified Chartered Accountant - Institute of Chartered Accountants in England and Wales

Timeline

Chief Risk Officer - CIB/AM Americas

BNP Paribas
07.2016 - Current

Head of Risk Institutionals and Global Markets

BNP Paribas
07.2015 - 07.2016

Global Head Investment Mgrs/Market Infrastructures

BNP Paribas
07.2011 - 07.2015

Co-Head of Risk Capital Markets Americas

BNP Paribas
07.2003 - 07.2011

Global Head of Control and Reporting

BNP Paribas
09.1996 - 06.2003

Head of Credit Policies and Procedures

SBC Warburg
04.1993 - 09.1996

Head of Treasury Accounting and Credit Risk

Mercury Asset Management
10.1990 - 04.1993

Internal Auditor

Morgan Grenfell Plc
03.1986 - 10.1990

Audit Senior

Robson Rhodes Chartered Accountants
10.1982 - 03.1986

Bachelor of Science - Economics

London School of Economics And Political Science

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Lloyd Samuel Plenty