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PETER GETTINGS 48 Venice Corte 2, Elmeria Street, London. SE13 7FW
Tel: 07540067522 Email: peter.gettings99@live.com
PROFILE: RISK & COMPLIANCE MANAGEMENT
Proven corporate banking and risk and compliance executive, and Law graduate with over 10 years
experience spearheading regulatory assurance and monitoring, taking a leading role in the Lloyds
Banking Groups HBoS integration program. Embedding and ongoing BAU compliance and regulatory
regimes. Excellence in conducting deal analysis, evidence review, KYC, AML, PoCA, EU, Basel, PAD,
PePs and conduct. Defining internal business benchmarks, and thresholds for doing business with
integrity, and accuracy. Well versed in creation and deployment of risk frameworks policy, business
continuity (BCM), and controls. Staff training and interviewing, remediation and reporting. Demon-
strated ability to cultivate relationships across internal departments and external bodies. Self-motivated
and high attention to detail demonstrated across Corporate, Wholesale and International product areas.
SKILLS:
Risk Management • Regulatory Compliance Root Cause Analysis • Due Diligence • Team Building &
Leadership • Thematic Compliance Monitoring • FCPA • Bribery Act • Conduct • Governance
Basel • Foreign Account Tax Compliance • Strategy • Business Continuity
PROFESSIONAL EXPERIENCE:
July 2014 - April 2015 PG T HALL CONSULTING, LONDON
• Working with Datatrouble, leading management consultation.
• Design/ scope customer intelligence, and compliance monitoring software.
• Reputation Management.
• Additionally involved in digital content creation working with, virgin Media, Virgin Internatio-
nal, Syngenta, Euro Tunnel, Nissan, Rimmel, Tesco, & N-E Co-Op.
March 2010 – October 2013 ASSOCIATE DIRECTOR COMPLIANCE - LLOYDS BANK
• Subject matter expert and helpdesk, AML, KYC, PAD, Sanctions, and RWA, and com-
pliance monitoring requirements. Entertainments, Gifts and incentives disclosure, policy
and training.
• Control Room functions National Crime Agency, SAR reporting, maintenance of Insider
lists, Chinese Walls, Watch Lists, breaches register and remediation.
• Wholesale product oversight; contingent liabilities, FX, and Trade Finance, Hedging.
• BIC (Business incident co-ordinator) Business Continuity.
Accomplishments:
• Delivered Group wide needs based Thematic Review (product sales) monitoring review
Global Corporate Banking & SMEs.
• Global Delivery of revised deal governance, and training programme.
• Appointed Global Corporate Relationship Manager to Risk & Compliance, finance, Credit,
Legal & Regulation.
• Attended ALCO Assets and Liabilities funding committee, as Global stakeholder .
• Implementation of UK Treasury Funds for Lending Programme. Corporate liaison with BofE
for Funds for Lending scheme, and HM Treasury.
• External compliance training and self certification, supplier management.
• Delivery LBG Advisory Conflict of Interest, and Conduct Management Policy / Process.
Group recruitment and senior talent assessor, authorised persons and potential Significant
Influence Functions.
• Appointed to Group diversity and disabilities steering group, national strategic review and
re-launch.
SEPTEMBER 2006 - MARCH 2010 RISK & COMPLIANCE MANAGER ECONOMIC PROFIT
• Senior Manager of economic profit policy.

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• Manager of compliance help desk, and responsible for development of training and gui-
dance. Business partner to 30 UK based corporate and commercial banking hubs.
• Conducting BAU, and bespoke compliance monitoring reviews.
• Reporting within a comprehensive banking and reputational risk framework, RAG status
and escalation, agreement and enforcement of improvement plans.
• Ownership and development of key policies, Economic Equity, Model Usage, wholesale
Product training.
• Product partner, Wholesale Contingent Liabilities, Trade Finance, Government Export
Trade Finance Guarantees, and Leasing.
• Sector relationship manager Commercial, and Global Banking, and FI.
Accomplishments:
• Delivered and reported credit model usage review and testing.
• Appointed to lead integration of asset risk methodology after 2009 HBoS takeover.
• Delivery of harmonised deal maker compliance intranet.
• Global delivery of harmonised LBG Group training and support across Corporate Banking.
• Appointed Risk & Compliance business partner to International Banking.
• Led bespoke compliance review Government Export Guarantees.
• Tone of voice and compliance review bank standard letters.
• Management of departmental budget to target.
• Business Continuity BIC (Buildings Incident Co-ordinator).
FEB 2005 – SEPTEMBER 2006 AUDIT & COMPLIANCE LEAD MANAGER
• Auditor, compliance monitoring of operational manufacturing centres.
• Oversight and sign off of internal and external training and customer materials in accor-
dance with Banking Code of Conduct, Business Banking Code, and adherence to “Key
Facts”.
• Data protection and documentary retention periods.
Accomplishments:
• Appointed Lead auditor completing over 20 BAU UK based operational reviews.
• Departmental Money Laundering Reporting Officer.
• Whistelblowing co-ordination and management.
• Delivered bespoke thematic compliance review Distance Marketing Directive.
• Led bespoke group wide monitoring review of customer complaints handling.
• Delivered ross boarder customer data handling review.
• Business Continuity BUR (Business Unit Representative).
• External relationship manager, Royal Mail.
• Member of departmental strategic steering group.
APRIL 2004 – FEB 2005 OPERATIONS MANAGER PAYMENTS
• 1st line management x40 staff.
• Quality customer support of payment services.
• Technical helpdesk management.
• Delivering Operational Efficiency & Effectiveness coordinator.
Accomplishments:
• Customer experience improvement through workflow prioritisation.
• Customer satisfaction scores (Group Operations) most improved.
SEPTEMBER 2003 - APRIL 2004 COMMUNICATIONS MANAGER
• Customer quality improvement programme.
Accomplishments:

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• Production of promotional and training materials.
• Monitoring and reporting of success against targets.
• Organisation of group wide focus groups and town hall events.
SEPTEMBER 2002 - SEPTEMBER 2003 MANAGER PAYMENTS OPERATIONS
• BACStelIP payments security enhancement project.
• Project office business assistant to external consultants.
Accomplishments:
• Draft production of renewed end user legal terms & conditions.
• Production of customer user guidelines, draft design software packaging and legal disclai-
mers.
• Appointed to manage external relations, Gemplus, Shlumberger, BACs, and Royal Mail.
EDUCATION:
1994 - 2000
University College, Durham University
Bachelor of Laws LL.B.
2003 - 2005
Nottingham Trent University
Diploma in Management Studies
2004 -2013
University for Lloyds Banking Group
Corporate Credit,Risk & Compliance Training, London, Birmingham
2006 - 2013
University for LBG - Complinet
Compliance Management Self Certification
2007 - 2014
University for LBG - Intuition
& Markets Wholesale Training
Personal Interests:
I enjoy painting and drawing, reading historical novels, architecture, opera, and arranging short geta-
way breaks with friends. I look forward to regular quiz nights to catch up and relax with friends.
References Available on Request.