|| Anne Svendsen-Tune ||
corporate bio
I love new ideas, thrive on questioning the status quo, exploring the alternative and glean new insights into ways of working to perform smarter risk oversight and management.
KEY COMPETENCIES
people skills (incl. stakeholder management & communication) - regulatory landscape insight- compliance risk management - commodity markets and products - surveillance & monitoring - oversight & assurance frameworks
I take a keen interest in the ‘human element’ of risk management with particular passion for conduct and behavioural science.
I have a comprehensive and varied understanding of global commodities trading, the associated operations and market dynamics; the broader regulatory compliance landscape, including domestic and international legislation applicable to commodities trading; as well as a sound knowledge of the three lines of defense model, compliance controls, and experience in monitoring and oversight assurance activities.
I have performed compliance monitoring and oversight activities across a wide variety of global trading businesses, investigated market abuse cases on a suite of asset classes, collaborated on surveillance of stocks and benchmarks, constructed confirmations for complex, bespoke commodities financial instruments and contracts for spot purchase/sale of crude oil.
My work continues to involve extensive communication and partnering at all levels from entry to senior management and across various departments, including the commercial trading teams, other compliance teams, finance, market risk, audit and legal.
I manage assessment teams as the Lead Assessor, and I continue to enhance my project and task management skills and strong collaboration abilities through each assessment/review work stream and involvement in projects such as regulatory obligations mapping; the establishment of the team I’m current part of; assisting to develop the Compliance Risk Assessment framework and methodology; as well as organising and leading focus group session to address perceived obstacles for learning and development.
My current role has given me a holistic overview over the multitude of regulatory compliance risks relevant to a global trading business as well as how they manifest themselves at a business line level. I have gained insights into numerous ways of working, governance structures, new business activity processes, and control designs and alike, enabling me to input and provide tailored compliance risk advice and recommendations.
|| Work ||
Specialist Risk, Oversight and Assurance, T&S Compliance - Shell International Trading and Shipping Company
Develop and maintain key elements of the Compliance Risk Assessment Framework to ensure it is ‘fit for purpose’ and in line with external expectations; perform compliance risk assessments and reviews to allow front-line businesses to gain an understanding of their Compliance Risk profile and to determine any actions necessary to reduce the level of risk identified; develop and execute key elements of the overall Oversight & Monitoring plan; maintain a framework for 1st Line of Defence assurance plans to enable evidence of compliance; report on the level of compliance risk within trading businesses and recommend actions for the business to reduce risks to within tolerances; partner as a Compliance Risk Oversight & Assurance SME with other parts of Compliance and other Functions, including Legal, Finance and Audit.
Client Service Analyst - BNP Paribas
Responsible for drafting and producing confirmations and deal deal contracts for commodity derivatives transactions. Handled and reconciled incoming deal documentation; negotiated deal and/or contract discrepancies; conducted pre-trade confirmation language negotiations and reviewed ISDA agreements; monitored, tracked and resolved outstanding deals & associated issues; drafted of Early Termination Agreements, Amendment Agreements and oversaw Novation Agreements were implemented.
Associate, Market Oversight - Financial Conduct Authority
Managed a portfolio of market manipulation & insider dealing investigations cases; provided support & SME expertise to the FCA’s Enforcement division on market abuse investigations and any subsequent litigation; assisted on thematic projects and work-streams designed to focus on specific areas of the market or particular market practices, in order to identify whether these pose a risk to the FCA's agenda for combating market abuse.
Gained strong knowledge of UK/EU wide market conduct regime (MAR & REMIT) and wider financial services regulation regime (FMSA, MAR, MiFID II, FCA handbook, fraud, including ABC and AML, regulatory expectations etc)
Contract Coordinator (crude oil and derivatives) - Shell International Trading and Shipping Company
Provided para-legal and commercial contract advisory services to trading teams; performed analysis of futures and forwards markets and associated deals and contracts; created deals confirmation & contracts, and negotiated internally and externally; reviewed ISDA agreements, non-compliant confirmation wording and if deals were ”fit for purpose”; trained new joiners and created a trade documentation handbook.
|| Background ||
My academic background is in law and governance, risk & compliance
ICA Diploma
Governance, Risk and Compliance (‘GRA’)
Erasmus Exchange Programme – University of Glasgow
Criminal Law & Evidence; Business Law; Commercial Banking; Financial Markets and Financial Institutions.
LL.M (Master of Law) – University of Copenhagen (on sabbatical)
Courses: Law and Economics; Law of Financing; Company Law – Private Companies; Company Law – Public Listed Companies; European Corporate Finance; Corporate Governance.
LL.B (Bachelor of Laws) – University of Copenhagen
Courses: The Legal Method; Contracts and Torts I-II; Constitutional Law; Family Law and Law of Wills and Succession; Criminal and Civil Procedure; Criminal law; Legal History, Jurisprudence and Sociology; International Law, EU Law, Property Law, Administrative law, Bachelors Thesis.