As a regulatory analyst I work on a variety of projects, ranging from helping new firms secure FCA authorisation to reviewing the compliance of established firms. I also keep the Compliance team up to date on the regulatory developments coming up in the UK, Europe and beyond. With Brexit on the horizon, I also inform the wider firm about Brexit updates affecting the financial services sector.

Before joining Bates Wells, I was a Compliance Analyst at the Bank of England working within the Markets and Banking Directorates. Prior to that, I worked within the compliance team at a prime brokerage firm, dealing with clients such as hedge funds, UCITS, wealth managers and AIFs.

I also have experience working at the FCA within the Authorisations division where I was involved in work regarding the Senior Managers & Certification Regime (SM&CR) for dual-regulated firms.

Recent projects

  • Undertaking a compliance healthcheck for Appointed Representatives (AR) of a fund manager

    I reviewed documentation provided by the ARs, conducted interviews and drafted a report with recommendations on how they could improve their compliance framework.

  • Conducting a workshop on SM&CR for FCA regulated firms

    During this session I gave practical insights into preparing for the Senior Managers, Certification and Conduct rules regime which will be implemented in December 2019.

  • Advising a fund manager on the implications of Brexit

    Provided advice on things to consider in a no-deal Brexit scenario, this included data protection, marketing, contract continuity, provision of investment services within the EU and notifying clients about Brexit.

  • Preparing an FCA authorisation application for a crowdfunding platform
  • Supporting on regulatory projects relating to PRIIPS and financial promotions
  • Conducting SM&CR training to members of the UKCFA
  • Providing technical advice to clients on SM&CR
  • Drafting and updating policies for a P2P platform
  • Creating a compliance manual for a Venture Capital firm
  • Reviewing terms of agreement with a third party to ensure compliance with money laundering regulation
  • Hosting roundtable for social impact firms
  • Drafting compliance and MLRO reports for fund manager and P2P platform
  • Delivering compliance training to a Private Equity firm
  • Scanning the regulatory horizon and ghost writing

Qualifications and career

  • CISI Investment Compliance Diploma (In Progress)
  • Compliance Analyst at Bank of England, 2017
  • Compliance Associate at GPP, 2016
  • Associate at FCA, 2015
  • Graduate Analyst at Deloitte, 2014
  • University of Southampton Law LLB, 2014

Pro bono, memberships, and appointments

  • Member of CISI
  • Former Ambassador for Haven House Charity