OJ Associates Banking Brochure

Oliver James Associates is an established search and selection consultancy operating exclusively within the �nancial services industry since 2002.

Our business was initially built as the chosen recruitment partner for a large proportion of the Insurance and Asset Management industries. In 2011, we launched our Banking and Broking teams in response to two main areas of weakness in �nancial services recruitment:

Most recruiters have contractual preferred supplier relationships in place across the majority of major banks, and therefore have no ability to market map & pro-actively source talented individuals

There is a supply gap between the reach of the top-end of most contingency recruitment �rms and the bottom-end of most search �rms – this gap results in poor quality of service being delivered in the £75-150k salary range

Oliver James Associates satisfy these needs by:

Building long-term relationships with a handful of banks, and ring-fencing the rest of the market as source clients where we spend time mapping relevant teams

Through an experienced and talented Research team we reach out to build relationships with high calibre individuals who are not actively looking for a new role, but are receptive to being presented with their next logical career step

We treat each instruction as an individual project, and apply search methodology to sourcing a high quality shortlist for roles in the mid-senior level

Search & Selection to the Financial Services Industry

Specialist Approach

Oliver James Associates have a specialist approach to �nancial services recruitment. We are structured in teams that focus on building relationships within niche areas, allowing us to have a detailed knowledge of the technical requirements and through well developed networks o�er our clients and candidates indepth market intelligence regarding recruitment solutions.

Our Corporate Governance markets include: Compliance; Internal Audit; Risk Management; Business Analysis / Change / Project Management. Within these markets we have specialist Consultants and Researchers working excusively with mid-senior level professionals.

While most agencies see the Quant space as an extension of IT or Risk, we understand the true value of the rocket scientists in the banking world. With a dedicated team covering the Quantitative Finance market, we provide a deep technical understanding of the requirements allowing us to source the very best active and passive candidates in the market.

Our team have placed at Global Head through to Associate level, and PhD candidates looking for their �rst step on the Quant ladder. We endeavour to truly immerse ourselves in all aspects of quantitative analytics, strategy and trading to provide a true consultancy service to our clients and candidates.

From front o�ce Quantitative Modellers and Quant Traders running their own P&L’s, through to Model Validation and Quantitative Risk, our specialist team understands the technical speci�cations that many recruiters will simply search for in words on a CV.

Structure Chart

Front O�ce

• Desk Quants / Modellers• Research• Strategy• Quant / Algo Trading• Structuring• Technology

Compliance

• Financial Crime• Advisory• Monitoring• Financial Promotions• Training• Governance• Anti-Money Laundering• Policy• Control Room• Surveillance• Operations• Sanctions• Anti-Bribery & Corruption

Compliance

Risk Management&

Quantitative

• Credit Analyst• Counterparty Risk• Risk Control• Ratings Analysts• Credit Research• Business Analysts• Project / Change Mgmt

Credit Risk

• Market Risk Managers• Market Risk Controllers• IPV / Valuations• Business Analysts• Project / Change Mgmt

Market Risk

• Operational Risk Managers• Enterprise Risk Management• Internal Controls• Business Analyst • Project / Change Mgmt

Operational Risk

• Risk Management• Portfolio Analytics• IPV / Valuations• Model Validation• Pre-Sales• Business Analysts• Project / Change Mgmt

Quantitative

Internal Audit

• Fixed Income• FX• Equities• Commodities• ECM• DCM

Business Audit

Capital Markets Audit

I.T Audit

Product Areas

Actuarial

• Longevity• ALM• Capital Solutions• M + A• Solvency II• Structured Products• Asset Management

Actuarial

Legal

• Capital Markets - ECM & DCM• Asset Finance• Project Finance• Structured Finance• Leveraged Finance• Corporate Finance• Funds• Marine• Energy• Commodities• Regulation• ISDA Documentation

Legal

Example Job Placements

AA Head of Customer Data & Pricing ACE European Group Director of Planning & Analysis ACE European Group European Financial Controller ACE European Group Legal Counsel ACE European Group Chief Actuary ACE European Group Director, European Audit AEGON Head of Market Risk & ALM AET UK Head of Risk ALICO Life International Product Review Actuary Alliance Trust Head of Risk Allianz Legal Counsel Allianz, Italy Chief Reserving Actuary Alston Gayler Director of Finance Amlin Plc ISDA Negotiator Amlin Plc Head of Finance Change Amlin Plc Head of Financial Reporting Amlin Plc Financial Controller, UK Amlin Plc Head of Tax AON Legal Counsel AON Legal & Claims Counsel AON Claims Adjuster (Sydney) AON Claims Advocate (FI/D&O/BBB/PL) Argo Head of Audit Arthur J Gallagher Financial Controller Aspen Re Head of Technical Accounting Aspen Re Head of Syndicate Accounting Aspen Re Head of Business Partnering Avantage Director of Risk Avantage Director, Compliance Aviva Head of Management information Aviva Director of Consolidations Aviva Director of Reporting and Consolidations Aviva Financial Controller - AGC Aviva Head of Consolidation Aviva Finance Business Partner Aviva General Counsel Aviva Director of GI Actuarial Aviva Head of Internal Audit Axa Group Chief Risk Officer Axa Life Director of Finance Axa Life Chief Actuary Axiom Chief Actuary Bank of America Lead Actuary Barclays Director, IT Audit Barclays Global Head of Product Governance Barclays Wealth Chief Risk Officer

BDO Director, Compliance Bell & Clements Head of Audit Benfield Deputy Chief Actuary Benfield ReMetrics Senior Team Leader Brightoil (Hong Kong) Legal Counsel Brit Insurance Senior Claims Adjuster (Catastrophic Risk) Brit Insurance Head of Syndicate Reporting Canada Life Head of AML Canada Life Chief Accountant Canada Life Head of AML Canada Life Legal Counsel Capita Life & Pensions Legal Counsel Capita Life & Pensions Solvency II Programme Manager Catlin UK Capital Actuary Charles Taylor Consulting Financial Controller Chartis Actuarial Manager Chartis Capital Management Lead Chartis Programme Director Chaucer Plc Head of Investment Reporting Chaucer Plc Head of Finance Chubb Insurance Financial Controller, Syndicate Chubb Insurance Head of European Risk & Compliance Clyde & Co Senior Associate Combined Insurance Chief Actuary Combined Insurance Regulatory Legal Counsel Cooper Gay Group Financial Controller Cooper Gay Head of Internal Audit & Risk Deloitte & Touche Director, Insurance Deloitte & Touche Director, Compliance Deloitte & Touche Director, Data Management Deloitte & Touche Programme Director Deloitte & Touche Director, Regulatory Advisory Deloitte & Touche Director, Audit Deloitte & Touche Partner, IT Audit Endurance Professional Lines Claims Adjuster ERGO Senior Life Actuary Ernst & Young Manager, Actuarial & Insurance Everest Re Senior Claims Manager (New Jersey) Exporters CFO Fidelity Compliance Manager Financial Reporting Cncl Director of Projects Flagstone Senior Claims Adjuster (Direct & Facultative) Fortis Insurance CFO - GI Fortis Insurance CFO - Life Fortis Insurance Head of Compliance Friends Provident Head of Group SII Capital Reporting

Below is a selection of clients who work with Oliver James Banking as either a

Preferred or Approved Supplier within one or more business areas:

Risk Management | Quants | Compliance | Internal Audit

Goldman Sachs

HSBC

Deutsche Bank

RBS

Evolution Securities

Je�eries International

BNP Paribas

Selection of Banking Partners

Recruitment Methodology

To ensure a successful conclusion to a recruitment assignment, it is essential that it begins with an in-depth consultation with the client. When Oliver James Associates takes on any recruitment assignment, it is imperative that the initial consultation provides us with detailed information in order to attract the client the best possible candidates within the market. Key points to be covered shall include;

An analysis of the businessCompetitor benchmarkingUnderstanding of the job speci�cationShort/medium/long-term goals of the positionReporting linesPromotional prospectsCulture of team/departmentRemuneration packageInterview processes Company strategyPro�le of the desired candidate

Oliver James Associates are in a position to truly consult with you. We will be able to provide you with an understanding of the current market place, market remuneration packages, availability of individuals in the industry, your positioning within the market place and how best to position yourself to attract the best quality of talent available.

Consultation

Our thorough search methodology is comprised of the following:

HeadhuntingThis is our key activity and is what sets us apart from our competitors. We invest a lot of time in networking and headhunting high-calibre candidates that have the necessary skills for the job. The �gure for our headhunting skills speak for themselves: so far 74% of all our successful mandates have been made through proactive resourcing.

ReferralsWe nurture our business and our relationships to yield the best possible results for our clients and our candidates. Our reputation for success, professional approach and consultative ability has gifted Oliver James Associates with an exemplary referral network, providing easy access to usually unobtainable talent within the �nancial services market.

AdvertisingWe advertise across all forms of recruitment medium to attract proactive seekers of new appointments within the �nancial services market.

Active and passive candidatesThe results of our headhunting and other candidate-sourcing activities are stored in our extensive database, which is speci�cally tailored to the �nancial services market and allows us to make advanced searches based on criteria speci�c to the needs of the client.

Our careful searching allows us to fully penetrate the market and source the best candidates to suit our clients’ roles.

Search

All candidates generated through head-hunting, referrals and responses to advertisements are amalgamated with our extensive database. Our current database consists of a signi�cant volume of high calibre active and passive �nancial services professionals. It is our ability to intricately map the �nancial services market that provides Oliver James Associates with leverage that separates us from our competition.

A selection process then occurs between the relevant vertical market consultants to discuss their most suitable candidates. We then complete the following steps:

We contact the relevant candidates to discuss the client, the team and the role, supplying them with the formal job speci�cation.

We assess their suitability to the role, re-con�rm their current situation and ensure that we have their most up-to-date CV.

Once we have quali�ed their suitability and interest, we obtain written con�rmation that Oliver James Associates is representing them for the role.

We will then create a shortlist which we will subsequently present to our client. We also save our clients a lot of the legwork: we carry out referencing checks and screening services on their behalf.

Selection

Candidates will be presented to the client via a curriculum vitae and candidate synopsis. It is this additional synopsis which provides the client with a summary of;

Current remunerationFinancial expectations Notice periodCareer aspirationsCharacter assessmentReasons for interest in the opportunity and businessMotivations for leaving current employerSummary of relevant experienceCurrent activity of the candidate in the recruitment market place

Once we have reached an agreement with the client over the suitable candidates that they wish to interview, we coordinate the interviews at all stages, preparing our candidates accordingly, recon�rming their interest at all stages, understanding any concerns that need addressing and ensuring that the risk of any unexpected decision changes are minimised.

In a competitive market place, it is imperative that after each successful interview we provide our client with comprehensive feedback. Quality feedback provides our clients with a deeper understanding of a candidate’s feelings and expectations. Greater knowledge produces a greater success ratio.

Presentation & Interview

Our consultants will o�er you guidance about how to achieve the best possible o�er to secure the selected candidate without unnecessary negotiations. We will provide the chosen candidates with the o�er and provide guidance and manage the process of accepting the o�er, possible counter o�ers and negotiation of notice periods.

O�er Management

From acceptance of an o�er to the start date, a void of communication can occur and momentum can break down. It is at this time that a good consultancy has the foresight and professionalism to keep the process moving towards its ultimate and successful conclusion. We will liaise with both parties, providing any advice that may be required, meeting the candidate again, and assisting the candidate with anything we can, for example relocation issues.

Post Acceptance

Copyright Oliver James Associates 2011

Key Contact Details

UK & Ireland

Continental Europe & Asia

Insurance & Asset ManagementNick Godson, Director+44 (0)207 649 [email protected]

BankingRichard Pickard, Director+44 (0)207 649 [email protected]

ActuarialClare Nash+44 (0)207 649 [email protected]

Hong KongJonny Plews+44 (0)207 649 [email protected]

SwitzerlandAudrey Dresen+44 (0)207 310 [email protected]

BeneluxJulien Fabius+44 (0)207 649 [email protected]

GermanyPhu Le-Ngoc+44 (0)207 310 [email protected]

Risk & Quant BA & ChangeEdith Kamdoum+44 (0)207 310 [email protected]

Internal AuditKuhinoor Kabir+44 (0)207 310 [email protected]

ComplianceKristian Tennick+44 (0)207 310 [email protected]

ComplianceAbdul Mannan+44 (0)207 310 [email protected]

Risk ManagementRudy de Oliveira+44 (0)207 310 [email protected]

Internal AuditSimon Cresswell+44 (0)207 310 8548 [email protected]

Quant Analytics / Front O�ceTrevor Symons+44 (0)207 310 [email protected]

LegalDavid Walsh+44 (0)207 310 [email protected]