Experience in providing Brexit Compliance advice (EU & UK Reporting impacts, Governance design) , to a range of financial services firms from start ups to global banks. Being registered in UK and Jersey as Compliance Officer and MLRO, I understand what evidence Heads of Compliance need to satisfy regulators so that they can sleep soundly at night in the comfort that their clients interests are looked after properly. Worked cross border in matrix teams in UK ,Jersey & the US and with EU teams including,French, Dutch and Irish regulated firms. .
Drafting and presenting the Compliance Officer Board Reports, operational compliance regulatory work, as well as operational risk and control reviews, deep dives and enhancements to regulatory satisfaction. Focused on client assets regulatory issues for over 7 years as Barclays group restructured its governance arrangements. Considerable client assets knowledge gained working with KPMG, Deloitte and Barclays senior management. Since 2016 supported small 10 person firms, medium firms through to a governance enhancements of compliance arrangements of UK 300 year old UK Large Wealth Management firm with an Irish subsidiary.
Whatever your size firm, I can help meet your compliance needs with extensive compliance knowledge of asset management products; operational systems & controls to prevent breaches; UCITs Funds; Governance; accurate Regulatory Reporting and Outsourcing oversight, particularly in relation to Financial Services Compliance.
Qtr 1, 2021 deliverables successfully met included supporting a Hedge Fund FinTech Market information startup review its compliance arrangements. Separately advised a UK & Irish Funds group assess third country cross border compliance requirements for fund distribution requirements. ( Prospective Australian and Indian Investment Managers)
2020 Brexit Compliance governance design & planning, regulatory reporting preparation for a US Bank, with Irish regulated subsidiary, and a UK regulated branch.
2020 Policy review, drafting, presentation and training for an Irish Medium firm Funds company including Financial Promotion ad-hoc monitoring.
2020 UK small investment firm deep dive monitoring review of regulatory reporting arrangements and drafting of management audit responses. audit rating and migrate a takeover target firm.
2019 Transaction reporting deep dive derivatives monitoring review ( & US Bank engagement above 2020)
2016 to 2018 UK Wealth Management Firm (£45bn Aum) Multiple contract deliverables included: CASS Governance review and Risk & Operational controls Mapping, FCA Large firm supervisor regulatory management. Transaction Reporting Committee review and advice. Acquisition & integration of small UK asset manager & FCA waiver applications. Cross border UK to EU advisory role on a Dublin subsidiary. Preparing for the 1st Central Bank of Ireland Client Asset Regulation (CAR) CBI Review of firm and newly appointed Client Assets Officer. Firm wide staff training. Rigorous mock interview conducted of Client Asset & Compliance Officers.