Leading Edge Approaches to
Managing Risk
ADVICE
Leverage our experience to implement leading edge approaches to identify, assess, manage, and control risks across the 3 lines of defense. Seek an independent assessment of design and operating effectiveness.
Obtain support in investigating and crisis managing incidents, including fact finding, analyzing root causes, stakeholder management and remediation.
CONFERENCES
Enhance the impact of team meetings, events and conferences. Leave inspired with opportunities to take tangible and immediate action.
INVESTIGATE
ABOUT US
Jim Oates is a seasoned leader and governance, audit, risk
and compliance expert. He has vast international experience
in global financial services, with a focus on the key risks of
cyber, technology, financial crime, data and conduct. He has
a record of transforming organizations to focus on achieving
optimal effectiveness.
When serving in various global leadership positions at UBS,
Jim either led or participated in investigating, crisis managing,
and remediating the major events affecting the financial
industry globally. He was particularly instrumental in dealing
with the sub-prime crisis, market manipulation cases, unauthorized trading incidents, and financial crime matters. His responsibilities included intensive interaction with the key regulators for the banking industry across the globe, particularly the US, UK and Swiss lead regulators. In his last position as the Global Head of Compliance & Operational Risk Control, Jim was responsible for the firm’s financial crime prevention, cyber and information security, conduct and surveillance efforts comprising a team of 1,700 professionals operating in every major market around the world.
Applying his unwavering commitment for continuous improvement, Jim leveraged the lessons learned from his broad experiences to spearhead several strategic repositioning initiatives and drive change. With true effectiveness being the key success criteria, Jim helped to design and implement leading edge frameworks, develop high quality teams, and deploy innovative and advanced technologies and analytics. Through his strong vision and innovative solutions, Jim has become a recognized thought leader and a sought-after speaker in industry events.
Through his direct reporting lines to the Board of Directors or as permanent guest and key contributor in the meetings of the Board's Risk and Audit Committees over the last 10 years, Jim has gained extensive experience in the functioning of the firm's most senior governance bodies. In particular, he has acquired capabilities in instilling and upholding best in class governance, enterprise risk management and auditing standards.