18 episodes

The "Three Lines of Defence" Podcast provides an in-depth discussion into the world of Audit, Compliance and Risk for Banking & Financial Services. We will have in-depth discussions with a wide range of industry experts across the Three Lines of Defence, provide market updates, career advice and other key developments.

Three Lines of Defence Mark Enticott

    • Business
    • 4.6 • 11 Ratings

The "Three Lines of Defence" Podcast provides an in-depth discussion into the world of Audit, Compliance and Risk for Banking & Financial Services. We will have in-depth discussions with a wide range of industry experts across the Three Lines of Defence, provide market updates, career advice and other key developments.

    Market Update Hong Kong

    Market Update Hong Kong

    This solo episode of the Three Lines of Defence Podcast is a Market update on what is happening across the banking and financial services market in Hong Kong. We'll be talking about updates in recruitment, in demand jobs, compensation in the various sectors.

    In this episode we discuss:

    •Key areas of growth within the banking and financial services market
    •Status of recruitment within investment banks
    •Forecast on re-organisation of companies.
    •Updates on hiring in asset management, credit risk, banking, risk management, audit, IT
    •Virtual bank updates and risks
    •Insurance sector's hiring and technology development.
    •In demand jobs for each area.
    •Sectors that have driven job growth.
    •Compensation status in jobs around these sectors.

    • 8 min
    Christoph Roeder, APAC Head of Financial Crimes at Morgan Stanley

    Christoph Roeder, APAC Head of Financial Crimes at Morgan Stanley

    In this episode of the Three Lines of Defence Podcast, APAC Head of Financial Crimes at Morgan Stanley, Christoph Roeder, joins us to talk about his career journey, his thoughts on leadership, mentoring and the FCC moving forward.

    Christoph grew up in Switzerland and completed a Masters of Law. He started out in a legal counsel role with UBS before he became Head of Compliance - Continental Europe and Emerging Markets (EMEA) in 2009. Two years later, he became Head of Compliance - Wealth Management for the UK and Jersey. He then moved to Hong Kong in 2014 as Regional Head of Financial Crime Compliance, APAC. He joined Morgan Stanley in his current role in 2017.

    In this episode we discuss:

    •Christoph tells us about his early life.
    •He gives us a background on his work history.
    •Developing a career in compliance and FCC despite having a legal background.
    •Key mentors that helped develop his career and leadership style.
    •A key turning point in his career.
    •Significant challenge he experienced and how he overcame it.
    •Characteristics he looks for when he hires team members.
    •Key attributes of an effective leader.
    •Important elements of stakeholder management
    •3 pieces of advice he would give to a younger version of himself.
    •Key issues for FCC in the next few years.
    •Getting global cooperation between law enforcements and regulators.
    •The impact of technology in FCC moving forward.
    •Managing high pressure and stress in a senior leadership role.
    •His passions outside of work.

    Links:
    Christoph Roeder LinkedIn

    • 19 min
    Market Update Australia

    Market Update Australia

    In this episode of the Three Lines of Defence Podcast I provide you with a market update on what is happening across the banking and financial services sector in Australia. I give updates and explanations on the hiring processes and the current status of the industry in this pandemic.

    In this episode we discuss:

    •Hiring across Banking, Insurance, Superannuation & Asset Management.
    •Expansion in Financial Crime Compliance.
    •The expectation of increased regulatory pressure and litigation throughout 2021.
    •Expanding budgets for compliance and headcount.
    •Regulatory reforms impacting the insurance sector.
    •Skills and jobs in demand.
    •Main sector drivers for hiring.
    •Status of compensation and bonuses in the industry.

    • 9 min
    Harry Bader, Global Head, First Line Non-Financial Risk, Global Markets Sales & Capital at ANZ

    Harry Bader, Global Head, First Line Non-Financial Risk, Global Markets Sales & Capital at ANZ

    In this episode of the Three Lines of Defence Podcast, Harry Bader joins us to talk about his career journey, his thoughts on leadership, mentors that have influenced him, his views on the impact of COVID-19 on business continuity plans and his views on what it will look like moving forward.

    Harry is the Global Head, First Line Non-Financial Risk, Global Markets Sales & Capital Markets at ANZ since 2018. His career started as a trader before holding several positions in audit in different countries. He joined Credit Suisse in 2005 as a Senior Internal Auditor in Zurich and Singapore. Three years later, he still held various audit roles but under Standard Chartered Bank in Singapore and Jakarta.

    In this episode we discuss:

    •Harry's early life and where he grew up.
    •His reason behind choosing an apprenticeship in banking.
    •The driver of his transition on shifting careers from trading to audit.
    •He tells us more about his move from Zurich to Singapore.
    •Mentors that have influenced him in his career and leadership.
    •Key attributes of an effective leader.
    •Challenges in covering a global role.
    •The future impact of COVID 19 on business continuity plans.
    •Harry's passions outside work.

    Links:
    Harry Bader LinkedIn

    • 48 min
    Alan Leung, Head of Compliance Assurance, Greater China at Citibank

    Alan Leung, Head of Compliance Assurance, Greater China at Citibank

    In this episode of the Three Lines of Defence Podcast, I had a conversation with Alan Leung, Head of Compliance Assurance, Greater China at Citibank. He talks about his interesting career journey and the lessons he's learned along the way. He also shares his thoughts on leadership, mentoring, the role of compliance in digital transformation and the regulatory focus and expectations around ASG and sustainable finance.

    Alan completed a degree in Accounting and Finance at Monash University. After graduating, he worked for Audit in KPMG for 6 years. He then moved to Standard Chartered Bank in 2005 as Regional Head of Audit - Consumer Finance. He also worked in Internal Audit under Deutsche Bank and UBS before working for Invesco Ltd in 2011 as their Internal Audit Director, APAC. He joined Citibank in 2017 in his current role.

    In this episode we discuss:

    •Alan's early life and where he grew up.
    •The story of how he ended up working in banking and the roles he took on in the different companies he worked for.
    •How key mentors helped develop his career and leadership style.
    •Significant turning points in his career.
    •One fundamental key challenge he overcame.
    •Key attributes of an effective leader.
    •Elements of effective stakeholder management.
    •One piece of advice he would give to a younger version of himself.
    •Involvement of compliance in digital transformation.
    •The increase of regulatory focus both now and going forward around governance and culture.
    •The future of regulatory focus and expectations around ESG and sustainable finance.
    •Managing work pressure and stress.

    Links:
    Alan Leung LinkedIn

    • 35 min
    Nick Kee, Managing Director, Global Head of Institutional Securities Group Compliance at Morgan Stanley

    Nick Kee, Managing Director, Global Head of Institutional Securities Group Compliance at Morgan Stanley

    In this episode of the Three Lines of Defence Podcast, Nick Kee, the Global Head of Institutional Securities Group Compliance at Morgan Stanley joins us to talk about his career. Nick shares his insight and views on leadership, mentoring and the impacts of COVID-19 from a monitoring and testing point of view. He also shares how he engages his team while working remotely.

    Nick started as a Solicitor and worked for Blake Dawson Waldron and Sydney Futures Exchange before moving his career to compliance in 2001. That year, he joined Macquarie and progressed to Head of Compliance for the Securities Group. In 2011, he joined Morgan Stanley as Asia Chief Compliance Officer. In 2019, Nick moved to New York with Morgan Stanley to undertake his current global role.

    In this episode we discuss:

    •Nick's early life and where he grew up.
    •Practicing as a lawyer and making the move to work in compliance.
    •The drivers behind moving to Macquarie then Morgan Stanley.
    •Transitioning through work places from Hong Kong to New York.
    •How key mentors have helped shape his career.
    •Significant turning points in his career that led him to where he is today.
    •One challenge he had to overcome.
    •Characteristics he looks for when hiring people.
    •Key attributes of effective leaders.
    •Key attributes of effective stakeholder management.
    •One piece of advice he would offer to a younger version of himself.
    •Challenges for banks and financial institutions on monitoring, testing and supervision especially under COVID-19.
    •Keeping the team engaged and involved despite working from home.
    •Managing work pressure and stress that come with key leadership roles.
    •His passions outside work.

    Links:
    Nicholas Kee - LinkedIn

    • 42 min

Customer Reviews

4.6 out of 5
11 Ratings

11 Ratings

Dombowski ,

Fantastic Podcast!

Loving these podcasts. Great interviews with high quality guests!!

bobbicampbell ,

Three lines of defence

Incredibly insightful. Thank you.

Slater Lord ,

Brilliant.

This is my new favourite podcast. Looking forward to the next episode!

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