Helping Compliance Officers Sleep at night!
Experienced Financial Services Regulatory Consultancy
Practical evidence based compliance advice that enables successful partnering with client firms and takes account of the commercial reality of a going concern
Ability to flex approach to the nature, scale and reality of firms current evolution. Bringing knowledge gleaned from working with the best teams in KPMG, Deloitte and Global Bank senior management I enjoy working with small and medium firms bringing this knowledge helping resolve stark regulatory issues through to building compliant solutions for the long term that help businesses grow.
Compliance Officer – Support
An experienced Compliance Officer previously registered with multiple regulators I can empathise with the growing responsibilities that registered individuals face with SMCR and as regulators increase their scrutiny of firms and individuals. I can support you in an advisory capacity from short hourly engagements through to taking the weight off by delivering ad-hoc Compliance Officer standard work ranging from weekly engagements, part time through to longer term contracts.
MLRO – Cease & Desist Order experience
When you have worked offshore – you have seen it all! ( & not slept that well!)
Experienced MLRO previously registered in two jurisdictions, UK and Jersey. I can assist with deep dive AML thematic reviews across a large book of business through to ad-hoc advice on serious material financial crime reporting engagements. From a broad range of issues arising from internal staff failures through to reporting extremely sensitive cases alongside cross border reporting complexity I can help you fulfil your AML duties. I led cultural change as a MLRO of an offshore private bank with significant enhancement to the prevention of financial crime systems and controls. This included multiple jurisdictions reporting of suspicion to financial crime units and regulators in the PEP and UHNW private banking and asset management industry.
UCITS: Funds and Investment Trusts
Launch of 35+ Funds. Review of outsourcing oversight compliance enhancements. Change of Administrator, Custodian and Depositary. Sensitive and robust compliance management of third party relationships as a trend of material breaches escalate up to and including replacement of providers and integration of new firm into the Funds operating model.
