IOANA IUGA

• Advised leadership teams on defining and executing AI strategy aligned with business priorities.
• Acted as liaison between business and technology, translating strategic goals into scalable AI initiatives.
• Defined AI governance and operating models, ensuring compliance with risk and enterprise standards.
• Led identification and prioritization of high-impact AI use cases focused on measurable outcomes.
• Enabled cross-functional alignment among leadership, product, and technical teams for cohesive execution.
• Oversaw execution direction to maintain consistency with strategic objectives and scalability.
• Supported transition from ad-hoc experimentation to structured frameworks for AI adoption.
• Developed strategic plans to enhance cybersecurity measures across various platforms, ensuring robust protection against emerging threats.
• Collaborated with cross-functional teams to identify security vulnerabilities and risks.
• Provided expert guidance on regulatory compliance and best practices in cybersecurity, facilitating adherence to industry standards and minimizing risk.

As Director and Head of Sustainability Governance & Research Investment Banking, I built a Front Office Sustainability Governance team and developed and implemented a Sustainability review process for Investment Banking clients, to ensure compliance with internal Sustainability Standards and external statements (Climate Change Sensitive Sectors, Forestry and Agriculture, Defence and Security, World Heritage and Ramsar Wetlands, Human Rights).

Key Responsibilities:

• Design and implementation of investment banking enhanced due diligence (EDD) certification and re-certification process
• Global oversights of timely EDD completion and recertification for over 500 clients globally
• Design and management of controls and MI and exception management
• Defined & executed global Banking outreach approach, & drafted associated education materials
• Built an increased understanding of Business Sustainability objectives and decision-making outcomes
  Internal sustainability standards updates and risk appetize statements
• Client / transaction systems enhancement to ensure alignment with sustainability requirements
• Continuous improvement of existing processes and team development
• Regular engagement with group functions and transaction review committees to manage immediate deal escalations
• Key business representative in various internal senior committees
• Management of expansion of EDD process to other business area within the investment bank
• Management of implementation of AI solutions for EDD
• Management and implementation of new sustainability requirements including upstream oil and gas, biodiversity and human rights

Overall, my accomplishments demonstrate my ability to lead and deliver results in the
Sustainability space, focusing on outcomes, developing long lasting relationships and empowering people to deliver the best outcomes for our clients.

• Design of & migration to strategic model for program plan & governance in readiness for implementation phase
• Gap analysis of Legal & Client Engagement approach & playbook structure

• Banking (IBD) Senior PM successfully managed migration of ~2k Banking clients to EU subsidiary.
• Defined & planned the Business Client Migration approach for Banking, leveraging clients' trading/activity history to identify the appropriate migration waves.
• Defined & executed global client outreach approach & drafted associated client education materials (including the Loan Migration for Banking clients).
• Engaged with/escalated to Global Bankers and clients to drive the Loans Migration approach & plan.
• Defined the New Client Onboarding model, exceptions process for the European Subsidiary, internal comms & Front office training for migration & New Onboarding model.
• Provided regular progress updates (incl. key risks & issues) to senior stakeholders via weekly SteerCo.

• Defined implementation approach and functional requirements for Group wide Client Lifecycle Utility in Top Tier European Banking Group.
• Liaison with Business, Operations & IT in multiple European Business Units through design workshops to implement utility solution.
• Assessment of regulatory and jurisdiction specific requirements & limitations.

• Senior Project Manager leading a team of 20+ Big 4 consultants to design & execute MiFID II and Brexit client outreach requirements for multiple Nomura entities for Global Markets and IBD.
• Successfully completed MiFID II client outreach, ensuring compliance for over 95% of clients.
• Identified specific client types, Front Office key booking model scenarios for Brexit and assessed potential implementation options.
• Performed analysis to define staff relocation requirements for individual asset classes.
• Defined Brexit client outreach waves depending on client type and legal agreement complexity.
• Attended Buy Side and Sell Side industry roundtables on Brexit and MiFID to discuss key challenges.
• Led engagement with external counsel on documentation repapering requirements.
• Regular liaison with senior Sales and Bankers staff globally to explain regulatory requirements and client engagement strategy.
• Provided regular updates to senior Business and other stakeholders via weekly implementation sessions and working groups.
• Defined internal control framework and MI for MiFID and Brexit requirements.

• Business Analyst/Project Manager responsible for regulatory compliance projects for Banking and Capital Markets Division: MiFID II, BRRD, PRIIPs, SRP, EMIR, Dodd Frank, DGSD, APAC/US Nexus Rules.
• Management/Implementation of complex business and process changes driven by regulatory requirements (10-15 concurrently).
• Front Office representative on numerous regulatory change global working groups.
• Led regulatory impact assessment for capital markets and derivatives businesses.
• Defined client outreach approach & content, and associated Front office engagement model/training.
• Continuous support for Sales Staff and clients, resolving complex & sensitive issues.
• Providing regular progress updates to the Business and various stakeholders via monthly OpCos & business forums (e.g. MiFID II, PRIIPs) to highlight progress, business impact and risks & issues
• Identification & addressing of gaps within existing BAU processes, to improve efficiency.
• Defining and implementing internal control framework for global regulatory requirements.

• I specialize in regulatory compliance projects for the Banking and Capital Markets Division
• My expertise includes managing complex business and process changes driven by regulatory requirements, with a focus on MiFID II, BRRD, PRIIPs, SRP, EMIR, Dodd
• Frank, DGSD, APAC/US Nexus Rules.