Engagements across AI adoption, transformation, regulatory change, product and go-to-market, from recent work to the global banking programmes PTR Consulting has delivered since 2007. Examples are anonymised; client names are shared with permission on request.
Owned the AI product agenda for a platform serving investment managers. Took AI-assisted extraction of fund documentation and regulatory rules from rapid prototype to live deployment, and designed the AI governance model: use-case intake, human-in-the-loop review, approval gates and an audit trail aligned to the EU AI Act.
Took a new automated platform for shareholder disclosure across 100+ jurisdictions from concept to client-ready. Led discovery with six tier-one banks, turned conflicting interpretations into one agreed product definition, and delivered a rules engine linking every output to its source regulation.
Set up governance and return-on-investment prioritisation for a $multi-million front-office transformation portfolio. Ran a fintech tools incubator and natural language processing proofs of concept, secured board approval for a client lifecycle platform targeting a 50% cut in onboarding time, and moved 2,000 sales users and 30,000+ client records onto one platform.
Founded and built a regulatory workflow SaaS platform from first prototype to enterprise deployment. Raised over £1.1m in seed funding from Techstars, Invest Northern Ireland and angel investors, won Professional Services Company of the Year and a Gold Level Innovation Award, and presented the product at 10 Downing Street.
Designed and built a platform that runs the whole client lifecycle, from first enquiry through proposal, statement of work and delivery to invoice and payment, with accounting sync and a planned retirement of the legacy system.
Took over a high-profile, reputationally sensitive sanctions screening remediation, secured approval for a full restructure of delivery, rebuilt governance and reporting, and brought the programme back on track to meet its FCA commitments.
Led product strategy, roadmap and go-to-market for a shareholder disclosure, short selling and takeover reporting product line across the UK, Europe, the US and Asia-Pacific. Introduced a new sales and revenue operations process and restructured client onboarding to shorten time-to-value.
Designed and implemented an agile demand management function for anti-financial crime and compliance management information, moving the unit from reactive to proactive through a VMOST-based operating model and prioritised intake.
Programmes PTR Consulting delivered for global and international banks in London, sponsored at COO, CFO and managing director level.
Defined a trade reporting control framework and secured COO sponsorship. Analysed Dodd-Frank, EMIR and Hong Kong reporting rules to set control standards for each jurisdiction, published a target operating model for completeness, accuracy, timeliness and exceptions management, prioritised control gaps on a risk basis and took the programme through the bank's regulatory investment approval committee.
Directed the bank's Dodd-Frank programme. Broke the Act down by business line, ran a global impact analysis across the legal entity hierarchy, and with legal counsel recommended to the board the entity structure, including the entity to register as a US swap dealer. Built the compliance infrastructure and conduct policies, delivered a rule-mapping governance portal, and enabled execution, clearing and trade reporting across all derivative asset classes.
Ran a global process review across interest rate, credit, equity, commodity and FX derivatives, mapping sales, trading, risk, pricing, trade management and operations flows and the application architecture behind them. Identified straight-through processing and control weaknesses, then ran an RFI, RFP and vendor proof of concept across four financial centres with more than 70 subject matter experts, and presented the target operating model, investment case and roadmap to the COO.
Following a consortium acquisition, led the integration of a cash equities business onto a combined operations platform, then the separation and migration of an interest rate derivatives book into a newly created legal entity. Mobilised each programme, ran command and control across multiple migration weekends, and coordinated client communications so clients saw minimal impact.
Brought in to give fresh impetus to a national market infrastructure committee coordinating its country's response to the G20 commitments on OTC derivatives. Facilitated a restatement of the committee's objectives, recommended governance and oversight, and consulted on the industry whitepaper on future central clearing strategy, built on a quantitative assessment of the market.
Built the business case and implementation roadmap to expand the bank's presence in the credit default swap market, sponsored by the head of fixed income. Covered segmentation and profitability, competitive and customer analysis, a phased product launch, sales and marketing requirements, target legal entity structure and the risk, technology and operations investment required.
Delivered a series of time-critical programmes against fixed external targets: connecting a credit derivatives business to the industry trade warehouse, after which the bank led the industry on settlement cashflow submissions; delivering direct settlement system membership under a commitment to the regulator; and setting up a market initiatives programme that moved an operations function from market follower to market leader on industry targets.
Worked with the global head of rates, credit and fixed income operations and his leadership team to facilitate and document a three-year vision, translate it into strategy against investment, cost and control objectives, and benchmark the function against its peers.
From G20 derivatives reform, Dodd-Frank and EMIR in global banks to today's fund regimes, we have spent our careers leading regulatory and digital transformation inside regulated financial services firms.
Each product started as a client problem we kept seeing. All are operated by PTR Consulting Ltd.
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