Chief Risk Officer, Shard Capital

James Yates is the Chief Risk Officer for Shard Capital, a role he has held since January 2019, and which includes holding the SMF27 authorisation and responsibility for the firm’s risk management arrangements. He is a passionate advocate of strong risk management principles and risk cultures with 24 years of experience in Financial Services, working in risk related roles across a number of different regulatory jurisdictions including the UK, Germany, Australia, Singapore and Denmark. James has built enterprise risk management frameworks covering many different areas of risk, including operational, regulatory, financial crime, conduct, information security, data protection, CASS, outsourcing, capital, liquidity, reputational, counterparty credit and market risks. Away from risk, James is a vocal proponent of the need for, and the benefits of, dynamic regulatory oversight.

james yates

My Sessions

Tackling the Risk of ‘Negligent’ Insiders

17 November 2022, 14:25 - 15:10 GMT