Compliance, Risk & Audit Executive
A highly-motivated leader, focused on delivering assurance to Board-level Committees and internal/external stakeholders. Passionate about ethics and values-driven performance. Accomplished auditor (IIA/ISO) – objective and constructive. Skilled at developing compliance and control standards that balance business objectives with regulatory expectations. Committed to delivery of competitive advantage through enterprise risk management. A recognised change agent, able to develop and implement compliance and risk management programmes at all levels across large and complex organisations. Creates innovate approaches to embed compliance and risk management into day-to-day practices. Trusted business partner, a strategic thinker, outcomes-driven.
Senior Director & Compliance Lead, Novartis Integration Wavre, Belgium
September 2014 --- September 2015
Accountable for pre and post-deal integration activities for ethics and compliance-related topics during the £16Bn, three-part transaction involving the acquisition of Novartis Vaccines.
- Achieved a successful Day 1 to 120 with business continuity maintained; all governance, escalation and reporting routes operating effectively. Delivered through implementation of a strong Compliance integration strategy.
- Drove rapid cultural alignment through a values-based on-boarding strategy for the 5500 transferring employees, emphasising similarities and addressing differences between the two companies.
- Developed the strategy and led the identification and management of risks across the integration workstreams. Delivered sustainability after Day 120 by transferring more than 100 implementation risks to business ownership.
- Defined grace periods for legacy-Novartis processes and internal controls that did not meet GSK policies and standards e.g. Anti-bribery & Corruption, Data Privacy, Medical Governance; established risk-based programmes/timelines for alignment.
- Launched a Compliance Integration Handbook to ensure the Compliance function was engaged and could support their new business partners from Day 1. The legacy-Novartis Compliance team called out the handbook the as the item/activity delivering the most value during their on-boarding. It has since been adopted as the global Compliance reference manual.
- Delivered a comprehensive post Day 1 risk assurance exercise to transfer information about the legacy-Novartis significant risks to the GSK Audit & Risk Committee. Conducted structured interviews with senior executives, analysed data, indentified themes, validated the conclusions and developed recommendations.
Head of Risk Management Wavre, Belgium
December 2011 --- January 2015
Responsible for ensuring effective identification and treatment of significant risks in GSK Vaccines within a defined enterprise risk management framework. Secretary to the Vaccines Risk Management & Compliance Board.
- Developed and implemented a 5-year risk management vision and strategy to shift the business culture from reactive assessment of risk to proactive decision-making based on known risk.
- Launched an enhanced enterprise risk management process, benchmarked as best practice, integrated with key business processes and control activities.
- Fast-tracked the implementation of the SAP GRC Risk Management tool (launched in 4-months); demonstrated that consolidation into a single system added value through improved monitoring, business-reporting, governance and escalation.
- Presented the first enterprise-wide risk map to the Executive Team with risks linked to achievement of strategic objectives and the GSK principal risk classifications. Established Key Performance Indicator (KPI) dashboards and regular risk reports to deliver assurance that robust treatment strategies and control/monitoring activities were in place for principal/material risks.
- Established a Community of Practice for risk practitioners with a clear focus on best practice, continuous improvement and sustainability.
- Increased oversight and governance of risk management, internal control and compliance at the Vaccines Risk Management & Compliance Board by implementing a more robust escalation/reporting processes and increased accountability.
Senior Director, Compliance & Risk Management Wavre, Belgium
December 2010 --- December 2011
Accountable for delivery of values-based ethics, compliance, risk and internal control programmes in manufacturing, quality, procurement and support functions worldwide (approximately 7500 people).
- Launched a robust process for annual reporting to the Audit & Risk Committee to deliver improved governance and oversight; worked with key stakeholders to assess risk levels, set risk appetite and develop mitigation plans.
- Enhanced the controls over compliance-related risks in the Business Development due diligence process. Standardised the roll out of compliance requirements within new partners and joint ventures resulting in a step-change in overall efficiency.
- Developed the first consolidated Crisis & Continuity Management strategy for the Vaccines organisation and secured funding from the Risk Management & Compliance Board for a new director-level champion.
Senior Director, Assurance & Audit Brentford, United Kingdom
April 2008 --- December 2010
Responsible for global assurance and audit programmes providing a proactive and holistic oversight of risk, governance, compliance and audit activities for GSK globally.
- Pioneered a leading-edge Assurance framework and plan linking risk management activities, internal control programmes, and internal audits, acknowledged by the GSK Audit & Risk Committee as delivering clarity and enhancing governance activities.
- Delivered a consolidated and streamlined internal audit universe, risk-based schedule and supporting resource plan, following the integration of the five GSK internal audit groups (finance, IT, quality, research and health/safety) into a single function.
- Developed the first Assurance reports for the GSK Audit & Risk Committee and the Corporate Executive Team, highlighting significant risk areas (strategic, financial, operational and legal) and key messages through analysis and consolidation of business unit and internal audit reports.
- Set up the new Operations team, supporting approximately 250 internal auditors and risk management practitioners. Drove performance by developing the assurance strategy, setting objectives, delivering auditor training and professional development. Managed the £multi-million budget. Scheduled over 200 audits per annum; improved service delivery through robust procedures and documentation, effective performance management, KPIs and business metrics, benchmarking, continuous improvement, customer service and client management.
Director, Global Quality Assurance & Internal Audit Ware, United Kingdom
April 2004 --- April 2008
Responsible for internal audit activities within the GSK manufacturing and supply businesses (including manufacturing and supply chain operations and commercial/sales activities).
Managed a team of eight to 10 senior audit personnel based in the US and UK. Ensured risk-based, high quality and cost-effective auditing and audit follow up, flexibility of resource, enhanced team performance and individual personal development.
- Changed the mind-set and culture of the Consumer Healthcare organisation to embrace an open, “total disclosure” approach to internal audits where risks are shared proactively during audit planning. Improved audits to focus on the effectiveness of risk management and control processes, rather than on identification of business risks.
- Developed a novel approach to Strategic Process Audits, provided leadership, training, and guidance to auditors and auditees during implementation, embedded continuous improvement of the process to deliver on-going business benefits.
Strategic thinkingProblem solvingResiliencyResponsibilityAdaptabilityAnalytical thinkingCollaborationCommunicativeDiligenceOrganizationProactivityReaction to stressResult OrientedTrust
Global internal auditIIA standardsinternal controlaudit committee reportingEnterprise Risk ManagementCorporate GovernanceCOSOTurnbullCode of ConductCorporate policies & proceduresGRCThree lines of defenceEthicsValuesSpeak upInformation protectionPrivacyAntibribery & CorruptionThird party oversight
Skills and Expertise
Technical knowledgecompetence/capabilitychange managementProgramme managementCommunication & engagementTeamworkingPlanning & organisingDriving performanceContingency planningProblem solvingFlexibilityInnovation
Master in Biotechnology and Biochemical Engineering from University of Birmingham in 1984
Bachelor in Food Science from University of Nottingham in 1983
Training and Certification
Operational Excellence Green Belt (Lean Manufacturing & Six Sigma) in 2007 Training
GSK Certified Internal Auditor in 2006 Training
Accellerating Change Methodology in 2004 Training
EFQM Business Excellence in 1998 Training
Certificate in Healthcare Compliance, Sciences Po in 2011 Certification
NEBOSH Diploma in Occupational Safety & Health in 1993 Certification