C. John Bauer January *, ****

London

Dubai

USA

Mobiles:USA: +1-615-***-****

ad3fce@r.postjobfree.com

FINANCIAL SERVICES PROFESSIONAL

John Bauer is a financial services professional with extensive experience in global markets to include Europe, the Middle East and the USA. He has been instrumental in successfully developing and integrating sophisticated investment and commercial banking products for banks in Kuwait, Bahrain, Saudi Arabia, Germany and the USA. He formerly served as a Trustee on Samba Financial Group’s UK Pension Scheme Trust Board. Prior to that he was with United Gulf Bank (UGB), Bahrain, the investment banking arm of Kuwait Projects Co.(KIPCO), from 2003 to 2006 as Senior Vice President-Asset Management, & General Manager, United Gulf Bank Securities. In 2007 he set-up the asset management and brokerage services businesses for United Gulf Financial Services Co., Qatar, an Investment Banking subsidiary of UGB. He has over 140 executive level contacts with MENA financial institutions.

During his 30-year career, Mr Bauer has held executive positions in major financial institutions around the world, including Merrill Lynch, American Express Bank, Commerce Union Bank (now Bank of America), The Gulf Bank, Kuwait, National Bank of Bahrain (NBB) and Samba Capital Management International (SCMI) in London (a subsidiary of Samba Financial Group). He is an active member of the Arab Bankers Association of North America (ABANA) and the Arab Bankers Association, London. He has an MBA and BBA from the University of Michigan and taught business courses for the University of Maryland’s European Division . Permanent residence/work permit for the United Kingdom.

PROFESSIONAL EXPERIENCE

SAMBA FINANCIAL GROUP-UK PENSION SCHEME-London

December 2007-2023

Trustee on the Trust Board

The Trust Board provides oversight to ensure adequate funding of Samba’s UK Pension Scheme through prudent asset allocation, investment management, UK regulatory compliance, support from Samba-Riyadh and the Actuary/Administrator HSBC.

UNITED GULF BANK-Bahrain 2003-2007(a subsidiary of Kuwait Projects Co.-KIPCO)

Senior Vice President & Head of Asset Management (2003-2006)

General Manager-UGB Securities

Established and managed UGB’s Asset Management Business. Developed and managed the Bank’s portfolio through strategic oversight and re-balancing of a $1.8 billion portfolio. Responsible for management of $500MM non-core assets, product structuring for UGB’s own investments and sub-participation by KIPCO Group members in Kuwait and non-Group members outside of Kuwait and brokerage. Accomplishments include preparation of an asset allocation strategy and portfolio rebalancing for 133 non-core investments valued over $500MM, with 7 asset classes (real estate, listed equities, private equity, direct investments, alternative investments, fixed income and cash), 6 geographical regions, in 8 currencies. Restructured the portfolio by creating new investments in the form of leveraged hedge fund-of-funds, leveraged structured notes and leveraged listed equity portfolios for the bank’s portfolio as well as being sold down to the Group’s subsidiaries, with consolidated net returns above 32% p.a. Repositioned UGB Securities with focus on institutional business, improved productivity, and a 5-year plan to expand service across the GCC, and substantially increased brokerage commissions in 2005/06.

SVP-Head of Asset Management-United Gulf Financial Services Co., Qatar(2006-07

When UGB opened an investment bank in Qatar in mid-2006, established the asset management and brokerage businesses regulated by the Qatar Financial Centre (QFC).

SAMBA CAPITAL MANAGEMENT INTL (SCMI)-London 1998-2002(a subsidiary of Saudi American Bank and Citigroup)

Chief of Staff to the Managing Director & Chief Investment Officer Responsible for strategic initiatives and sensitive issues related to the business. Played a key role in the joint venture with Citigroup Asset Management to establish a new asset management entity for Samba’s institutional and private clients.

Marketing Director Responsible for product development, corporate communications, branding, distribution outside of Saudi Arabia, training, and support for the branch and relationship officers for a $3.0 billion asset manager. Worked closely with Citigroup in London and New York when implementing common projects.

Accomplishments for SCMI include:

Played a major role in establishing an alliance between Citigroup and Samba for investment management services.

Established distribution arrangements in new markets in the UAE, Bahrain, Qatar, & Oman for Samba’s Islamic Investments.

Management of the creation and implementation of Samba’s Luxembourg based Islamic investment resource out of London. Development of new Shariah compliant products and direct interface with the Shariah Board. Implementation of branding and communication to international markets of Samba’s investment services. Provided staff training and marketing support to Samba’s branch managers and private bankers in Saudi Arabia. Implemented advertising, publicity, & public relations campaigns. Managed creation and application of a new corporate identity program.

NATIONAL BANK OF BAHRAIN 1988-1997

Manama, Bahrain

Head of Investment Advisory/Private Banking (February 1992 to August 1996)-Established Investment Advisory with P&L responsibility for all aspects of the business including product development, relationship management and sales support. Served on the Board of two mutual funds.

Head of Retail & Private Banking (July 1988 to January 1990)-P&L responsibility for the domestic branch network, Abu Dhabi Branch, product development, automated delivery systems, etc.

Head of Corporate Planning (February 1990 to January 1992 & September 1996 to September 1997)-responsible for strategic projects such as identification of a U.K. asset manager for which to take an equity stake in and the bank’s entry into Islamic investments.

Accomplishments for NBB include:

Established National Bank of Bahrain’s Private Banking/Investment Advisory business and by 1995 it contributed US$5.3 million to profit. Increased assets under management from $176 million in 1992 to $400 million in 1996. Created, distributed and promoted a line of eight diversified mutual funds. Managed up to 9 external fund managers. Supervised Private Banking relationship officers. Increased market share of retail savings deposits from 20% to 37% and consumer loans from 12% to 22% while reducing past due obligations from 1.83% of outstanding loans to 0.67%.During the period that the Abu Dhabi branch reported to me, reversed six consecutive years of losses to profitability by refocusing from commercial lending to retail banking. Instituted a new Corporate Identity for the bank that is still in place and widely acclaimed.

THE GULF BANK-Kuwait 1982-1988

Head of Marketing & Product Development-responsibility for product management, new delivery systems, marketing, research and corporate identity and communication.

Planned, structured, implemented & promoted a broad range of banking/investment products & distribution systems to include:

A floating rate money market account that raised $600 million over four years

Statement savings product

Corporate cash management product that raised $100 million in deposits

Introduced the first two private label mutual funds in the Middle East-a money market fund

and an Islamic global equity fund.

First bank in the world to integrate US$ and £ Travelers Checks as an ATM service.

First bank in the Middle East to introduce Arabic/English voice response service.

Increased market share of retail savings deposits from 19% to 33%.

Introduced an employee incentive program that raised $170 million in new money in 4

months.

Managed the Bank’s new Corporate Identity program.

COMMERCE UNION BANK (now Bank of America)-Nashville, TN, USA 1979-1982

Associate Director of Marketing & Director of Product Management-in a $2.0+ billion bank holding company. Responsibility for Consumer and Corporate product development and marketing research.

Increased fee income several million dollars through management of comprehensive re-pricing programs..

Launched a revolving line of credit linked to an American Express Gold Card.

Increased market share of deposits during a period of interest rate deregulation.

Launched an floating rate checking account (NOW account).

Introduced a tax free All Savers Certificate distributed through a regional stockbroker.

AMERICAN EXPRESS BANK, Frankfurt, Germany 1971-1979

District Manager-Fuerth (December 1973-December 1978)- Had profit responsibility for retail banking services at 31 facilities and travel services at 10 offices in North Bavaria to 110,000 U.S. citizens and Government employees. Responsible for 190 employees, 60% German Nationals and 40% U.S. citizens.

Branch Manager, Aschaffenburg (November 1972 to November 1973)-P&L responsibility for the retail bank branch and travel office that provided services to U.S. government and military personnel.

Assistant Treasurer, Marketing (January 1979 to October 1979)-restructured a traditional marketing group around products with matrix profit responsibility. Recruited and trained product managers, market research and planning manager and advertising/PR support staff.

District Manager-Berlin, American Express Equity Services (October 1971 to October 1972)-Responsible for sales of mutual funds to U.S. citizens in Berlin.

MERRILL LYNCH 1968-1971, Fort Lauderdale, Florida, USA

Financial Consultant-Securities sales to individuals. Licensed for NYSE, ASE, NASDAQ & Chicago Board of Trade.

OTHER INFORMATION

Born in the USA. Divorced-two children. Citizen of the USA with a permanent UK residence and work permit.

Education: The University of Michigan, Ann Arbor, Michigan, MBA (1966) & BBA (1965)

Registered with the FSA under Samba Capital Management.

Current/past affiliations

Association of Investment Management Sales Executives(AIMSE), 1998-2002

Republicans Abroad International 1983-1999; Regional Chairman-Middle East/Africa 1997-1999; Member-at-Large-Middle East/Africa 1992-1997; Country Chairman-Bahrain 1988-1992; Country Chairman-Kuwait 1983-1988

University of Maryland, European Division 1967-68 & 1973-78 Instructor of Business Administration.

American Business Association-Kuwait 1982-88 & Bahrain 1988-97 and 2003-2007. Board Secretary Nov 04-June 2007. Co-chaired TradeQuest, a stock trading competition for high school students in the NYSE. NASDAQ & Bahrain Stock Exchanges.

Arab Bankers Association of North America, New York 2007-2011

Arab Bankers Association, London 1998-2007

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