Capital Markets Advisors

Turning Change Into Opportunity


The London based Executive team is made up of senior very experienced industry and market professionals. With a rich and deep background across the disciplines and services we manage our Executive team have on average in excess of 20 years experience.

Bringing with them a rich history of leading and managing client side businesses, Banking, Consultancy, Independent Expertise and Conduct Compliance and Leadership the Executive team have ensured this calibre of knowledge and experience is embraced and available throughout the organization.

John HigginsJohn Higgins is a UK based Managing Director with over twenty five years of advisory and consulting experience in performance improvement, risk management, compliance, people and change, and major programs and projects, including 10 years as a PwC partner. Wide experience in highly regulated industries including 8 years within financial services. International investigation, remediation and insolvency experience. Working knowledge of and relationships with various regulators and enforcement agencies. John’s financial services experience includes global investment banking, retail banking and insurance, and his subject matter expertise includes client assets (cash and securities), treasury, asset custody and asset servicing, UK Bribery Act, US FCPA, AML / KYC, fraud, sanctions and export controls, program and project management, change management, and learning and development. As a PwC partner working on the Lehman’s Administration, John had operational responsibilities including treasury, asset custody and asset servicing, and compliance with CASS rules and reporting under SUP16.14. John led governance, process and systems enhancements including implementation from initial design through to problem-free go live of a complete replacement for the legacy mainframe custody system in a 9 month window. John worked with the Board, Chief Compliance Officer and General Counsel of a large highly exposed multinational to advise on compliance governance, compliance strategy, and compliance program design and implementation. This was followed by a separate appointment to provide independent review services in relation to the design and implementation of the program. John has regularly led Board and senior executive workshops focused on governance, risk, regulation and compliance for international clients, represented his firm at the WEF Partnership Against Corruption Initiative and has regularly written and presented on regulatory and compliance matters in the UK and Internationally.

Jason SumnerJason Sumner is a UK based Managing Director with over twenty five years within the financial services banking sector. Has held senior leadership and executive positions within top tier institutions managing an array of financial products and businesses. Operations expert across a wealth of financial products and instruments. Jason has deep knowledge of innovative structured products and his strong technical skills are complemented by a specialism in change and restructuring. Jason has a proven track record of operational advisory, re-engineering, recovery, resolution, start up and execution. He has been responsible for developing and driving numerous industry products and landmark initiatives, specifically across the OTC space. His thorough understanding of legislation, regulation and operational risk enables Jason to translate and execute through to business practice and operational process. Jason has extensive operations management experience, demonstrating technical expertise across a number of financial trading products and particularly literate around OTC Derivatives and Securities products. Combined with his experienced and innovative approach to process review, new businesses opportunities, transactions processing, risk mitigation and cost management, Jason brings access to experience and a wealth of knowledge and understanding across a broad business and product spectrum. Jason has held numerous global, regional and national management positions including operations management roles at Barcap, JP Morgan and Morgan Stanley, before moving to Lehman Brothers, where for over 17 years he was responsible for numerous Capital Market and Asset Management Operational roles including: Prime Brokerage, Global Head of Collateral Management, Global Head of Fixed Income, Credit, Commodities, FX, Loans, Middle and Back Office Operations and European Head of Asset Management Operations. Following Lehman’s collapse, Jason worked with PwC Administrators in an interim executive role leading re-engineering and management of Operations and Treasury for the London-based Administration. Through this unique recovery and resolution Jason led and facilitated the successful settlement of a number of landmark resolutions, settlements and legal cases.

Sara ColasSara Colas is a  managing Director with over 18 years within financial services banking sector. Sara has held senior management and executive positions across several top tier institutions operationally managing and overseeing an array of financial products and businesses. Sara has deep operations management experience, is control and risk focussed combined with technical expertise across a number of financial trading products with an ability to influence and implement change. Sara has a proven track record of operational team leadership, operational re-engineering, experience in start up and building out new and innovative operations solutions that maintain pace with the business development. This is combined with a core understanding of the legal, risk and regulatory framework in which we operate.

Sara brings access to experience and a wealth of knowledge and understanding across a broad business and product spectrum. She has lead numerous regulatory and legislation solutions across the various jurisdictions including MiFID, CASS, Volcker and EMIR, bringing compliance through implementing process and technology.

Through her career Sara has held various leadership and managerial positions with various levels of employee responsibility dependent upon the role. Previously Sara held operations management roles at Lloyds, Merrill Lynch and State Street before moving to Lehman Brothers. Within the Lehman Brothers Administration Sara led the middle office and client service operations teams with a wider focus including solving for the multiple regulatory, legal and operational matters to portfolio repatriation, whilst overseeing the build out of a supporting operations infrastructure. Held responsibility for all regulatory compliance developments and operational forensics capabilities to support evidence in landmark court case hearings.

Responsible for managing client delivery and overseeing product development, Sara has worked with both buy and sell side firms on numerous initiatives including new business and products, operational, business conduct and reform solutions.

Sara has been leading our expert witness engagements, providing litigation support through case management, discovery and research processes, deposition and court live note analysis, whilst also overseeing regulatory compliance review analysis through the expert practice.

For more details of the UK website of our sister partnering firm please click on the Ocreus link.

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