Compliance Officer Support

Collaborating with Registered Compliance Officers & their diverse teams so they and their clients can sleep better at night!

Compliance Officer & MLRO Support Service

Helping Compliance Officers, their teams and clients sleep soundly at night by providing practical Compliance, Client Assets (CASS), Financial Crime Prevention advice to a range of financial services firms from small firms through to global banks!


Client Assets Specialist (CASS SME)

Advisor at Client Asset Executive Committee for Barclays Global CF10a & Brewin Dolphin. My roles included responsibility for the material enhancements to the CASS Governance Framework embedding key operational controls across 7 UK FCA legal entities and European Branches at the bank and 3 firms at the Wealth Manager. Appropriate skilful Regulator and Audit management led to materially improved audit ratings. I particularly enjoy using this experience helping small and medium firms enhance their operations systems and control arrangements from half day advisory engagements up to longer term contracts.

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Experienced MLRO

The key is positive collaboration with diverse teams so that they understand good AML compliance is great for clients, the firm and society. Led cultural change over a number of years in Offshore branch of a global bank subject to a cease and desist order with successful positive enhancement to the prevention of Financial Crime systems and controls.

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Compliance Officer

Having held registered roles, I enjoy supporting Heads of Compliance meet their evidence based regulatory reporting needs and sleep more soundly!  Formerly registered in the UK and Jersey as Compliance Officer & MLRO. I enjoy helping Compliance Officers where additional bandwidth is required at short notice such as unexpected regulatory contact or requests. Presented the Compliance Officer report at major UK Bank subsidiary Boards for five years (Private Bank, Wealth, and Fund Platforms).

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UCITs Expert: Funds and Investment Trusts

Design of compliant outsourcing oversight arrangements, management, transfer of administrator. Governance improvements included increased regulatory, trustee, depositary satisfaction with firms compliant funds oversight effectiveness. Merger of offshore and onshore funds, launching 35+ unitised funds. Training of UCITs requirements working to meet client firms needs in a collaborative manner with diverse teams.

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