Experience

I have worked in financial services for 15 years, including roles in asset management, crowdfunding and peer-to-peer lending. While I began my career as a Chartered Accountant, I have more recently held the roles of Compliance Officer, CASS Oversight Officer and MLRO. As a result, not only do I have a strong technical base, but I’m pragmatic and commercial in my approach. I am always keen, where possible, to find practical, workable solutions for my clients when implementing FCA rules and regulations.

I manage many of our ongoing retainer relationships and have worked with a number of clients on specific projects. I provide bespoke advice on topics such as client money, capital requirements, ICAAPs, consumer credit, payment services and much more.

  • Implementing a new compliance regime in a limited licence consumer credit firm
  • Advising a new entrant to the fintech market on the authorisation options available to them
  • Delivering compliance training to a newly authorised firm
  • Delivering advanced anti-financial crime training to a large fund manager
  • Leading a full, successful P2P authorisation application
  • Undertaking a compliance health check for a full scope fund manager
  • Managing the implementation of a CASS framework
  • Creating a risk framework for an investment firm
  • Drafting and implementing an ICAAP at a fund management firm

Qualifications and career

  • Finance Director and Compliance Officer, MoneyThing Ltd, 2017 -2018
  • Compliance Consultant, Bovill Ltd 2015 – 2017
  • Finance Director and Head of Compliance, CrowdShed Ltd, 2014 - 2015
  • Chief Operating Officer, New World Investments, 2013 - 2014
  • Finance Director, Octopus Investments Ltd, 2010 - 2013
  • Financial Controller, Polar Capital Partners Ltd, 2004 – 2010
  • Manchester Metropolitan University
  • BSc Hons Hotel and Catering Management, 1st Class
  • ICAEW Chartered Accountant
  • CISI Diploma in Investment Compliance
  • EISA EIS Diploma

Pro bono, memberships, and appointments

  • Member of CISI and ICAEW