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