Chris Rowland is a Senior Managing Director at Ankura based in Dallas. Chris has 25 years of executive leadership experience in the financial services industry, having worked in capital markets, wealth management, and correspondent banking environments. He has specialized in risk management and regulatory remediation.
Chris’ professional experience includes:
- Derivatives trading assessment of controls, revaluation, and reporting: A privately held global trading company hired Ankura to advise on the credit restructuring and to assess the risk management controls associated with derivatives. The Ankura trading assessment outlined the need for an overhaul of the entire control and limit structures within the company after the company experienced a significant derivative trading loss of more than $250 million. The trading loss triggered a credit default on a $500 million loan, held by a syndicate of 12 global banks.
- Major mutual fund engagement – assessment and analysis for board of directors: Ankura provided an assessment of the reasonableness of cost allocations and the quality of related documentation connected to Section 15 of the 1940 Act which requires an independent review of management contracts and related profitability. The profitability report details fees, services, and profitability on a fund-by-fund basis (50 mutual funds).
- Global correspondent bank – AML remediation: Managed critical aspects of the BSA remediation program, including AML risk assessment, detection scenario analysis, tuning, and testing. A remediation team was set up and managed to perform alert investigations and SAR preparation. Extensive reporting metrics and quality control/assurance programs were set up for this engagement.
- Global private bank: As the regional chief operating officer, managed regulatory turnaround of the securities and banking platform operating under Federal Reserve oversight. Established a broker dealer to extend product offering and business development. Responsible for the acquisition of two private bank operations, responsible for due diligence activities and integration across all units.
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