Experience

I joined Compliance in the summer of 2018 though I’ve been working in compliance for almost a decade.  Many of those years were spent at the FCA and I’ve developed a keen understand of why they do what they do. I’ve also spent time as part of an in-house compliance team, and now, as a consultant.

Since joining Bates Wells, my focus has primarily been on helping investment firm’s understand what is required and how this can be achieved in practice.  Of these my favourite is probably running compliance training though I’ve also enjoyed helping clients applying for authorisation for the first time, as well as those looking to vary their permissions.

A sucker for punishment, I’ve completed a BA in Mathematics from the University of Oxford, passed Level III of the CFA exams and am currently completing the CISI Diploma in Investment Compliance.

Recent projects

  • A prospective client’s was looking to adjust its business model to respond to changes in the market.

    I met with them and helped the firm understand the compliance implications of these changes and drafted documents to apply to the FCA to vary its regulatory permissions.

  • A client was looking to understand whether they were meeting their regulatory requirements.

    I reviewed the firm’s compliance documentation and interviewed key staff in order to produce a gap analysis laying out which areas I thought could be improved and recommending steps to address this.

  • One of our existing clients was looking to submit information to the regulator as a part of their returns.

    I helped the firm interpret what information the FCA wanted and assisted in making sure their data was in the necessary format.

  • Reviewed and updated a firm’s policies and procedures for compliance and conduct monitoring.
  • Walked a firm through the authorisation process, including drafting key documents they needed to submit.
  • Drafted and delivered training to staff on compliance and financial crime.

Qualifications and career

  • Compliance and Conduct Risk Manager, Metro Bank: July 17 - June 18
  • Risk Specialist - Banking Supervision, Financial Conduct Authority: September 14 - July 17
  • Risk Analyst - Financial Risks and Products, Financial Conduct Authority: September 11 - 14
  • Passed CFA Level III, CFA Institute
  • BA Mathematics, University of Oxford

Pro bono, memberships, and appointments

  • Sponsor Governor and Chair of the Finance and General Purposes Committee, Harris Academy Falconwood 2014 - 2017