Experience

Snowfall

• United Kingdom
• Software Development
• 1 - 100 Employee

• Regulatory Compliance Manager

  • Jul 2022 - Present

  In my current role at Snowfall, a leading financial services and travel technology company, I am responsible for coordinating all compliance activities to ensure the business meets applicable regulatory obligations. I have developed and implemented a comprehensive compliance programme, aligning policies, procedures, and controls with relevant regulations and industry best practices. Regularly conducting internal assessments and audits, I evaluate compliance levels and identify areas for improvement. Collaborating with cross-functional teams, including legal, risk management, and product, I proactively address compliance gaps and mitigate potential risks. This holistic approach fosters a culture of compliance throughout the business, ensuring Snowfall's continued adherence to regulatory requirements. Additionally, I oversee Anti-Money Laundering/Know Your Customer (AML/KYC) procedures, liaising with regulatory bodies to ensure ongoing compliance. Acting as a trusted business advisor, I provide expert guidance, resolve compliance-related queries, and implement comprehensive training initiatives to promote a culture of compliance among employees. Employing a proactive and risk-based approach, I identify, analyse, and prevent compliance risks, coordinating both external and internal audits to ensure smooth execution and compliance with requirements. I maintain a high level of awareness of regulatory trends and upcoming changes, advising the company on potential risks and opportunities. As the chair of multiple committees focused on compliance and regulatory affairs, I effectively coordinate their activities, leading meetings, facilitating collaboration, and overseeing action plans implementation. This multi-committee coordination enhances overall compliance effectiveness and streamlines communication across different business units. Show less



Proxymity

• United Kingdom
• Financial Services
• 100 - 200 Employee

• Compliance Manager

  • Mar 2021 - Jul 2022

  As the Regulatory Compliance Manager for Proxymity, I built the compliance department from the ground up and progressed the function from a purely executional role to possessing a defined corporate strategy. Reporting to General Counsel in a fast-paced and revolutionary environment, I oversaw the implementation of new compliance strategies around shaping Proxymity’s products and entry into new geographical markets such as the US, Australia, Hong Kong, and Japan. From entering the sector with no prior knowledge of the banking sector nor the challenges it faces, I succeeded in making myself stand out as a competent figure within the shareholder voting banking ecosystem right across intermediaries, global custodians, direct custodians, issuers and end investors, with knowledge of the regulations and practices dictating their operation. Working closely across the Legal, Product, Tech, and Sales teams, I advised Senior Management as to the strategy of the business from a regulatory perspective and my main responsibilities included reducing corporate risk by establishing a complete suite of company policies and implementing and auditing controls, continuing regulatory adherence with applicable financial services laws and regulations across international markets, and ensuring that custodian clients adhered to their own regulatory responsibilities when outsourcing part of their banking operation to Proxymity. I was also responsible for developing, conducting, and coordinating employee training and ensuring overall awareness of compliance requirements, ranging from Insider Trading to SRD2 and broader training such as Whistleblowing. I also closely assisted with the client due diligence process and augmented the company's own service provider due diligence processes. Show less



SAE Institute UK

• United Kingdom
• Higher Education
• 1 - 100 Employee

• Compliance Manager

  • Aug 2019 - Mar 2021

  In the role as Regulation Manager for SAE UK, I led the compliance department in reporting directly to the General Manager and to the Board, devising and overseeing the implementation of the compliance strategy and the submission of various reports to the regulator and affiliated bodies, while also taking an active role in corporate governance and affairs. Over-arching responsibilities included reducing corporate risk by establishing a new governance secretariat, establishing robust data governance protocols, and communicating these across all parts of the business and ensuring key stakeholders engage with these interventions. I advised as to the strategy of the business from a regulatory standpoint and daily tasks included coordinating and ensuring the timely and accurate submissions of returns, managing all aspects of corporate governance and the Board of Directors’ business, and scanning the sector horizon and building a compliance strategy in anticipation of upcoming implementation of new regulations. Previous tasks in this new role included creating an entirely new governance framework while taking steer from the FRC Corporate Code of Governance and creating a new internal audit and risk structure. On an ongoing basis I liaised with the various heads of departments in creating a legislation and regulatory compliance matrix as to how a robust compliance strategy is achieved. Additional projects encompassed designing new standard operating protocols, chairing various internal committees and spearheading a devolution project for regional offices to produce their own reports and transform the central compliance reporting function into a data aggregator for reporting to relevant regulatory bodies. Show less



Life Champions Media

• United Kingdom
• Information Technology & Services
• 1 - 100 Employee

• Operations and Compliance Director

  • Jan 2018 - Aug 2019

  Promoted to be the youngest director within the business, I reported directly to the CEO and COO to enhance compliance and operations while advising on law and corporate strategy. A cross-functional director, I had oversight of a staff of over twenty and direct line-management of a team of five. My responsibilities included developing and monitoring the compliance programme while collaborating across the business units to audit policies and procedures. This included drafting, processing and maintaining all necessary programme compliance documentation and all due diligence activities in line with identified risks. I led the design, implementation and management of the AML, ABC, and data protection programmes and delivered education strategies to improve staff engagement. When collaborating with the COO, I designed and implemented the internal standard operating procedures and undertook periodic audits to ensure efficiency. I introduced a discipline tracking system sitting alongside our project management software within Salesforce, resulting in improved observance of policies and enhanced transparency of compliance and management strategy. I compiled and prepared reports necessary for the programme requirements and for board reporting, and for coordination of financial reports to regulatory bodies. Therefore, I provided strategic direction to the executive management team on compliance. I defined client guideline monitoring for KYC and AML and created the trouble shooter for client restrictions. I reviewed and approved all sales and marketing literature to existing and prospective external stakeholders. Show less

• Senior Corporate Executive

  • May 2017 - Jan 2018

  Reporting to the CEO, I investigated regulation and drafted compliance documents in line with regulatory bodies. I advised on potential risk and on mitigation and advised on how to keep company goals in line with regulation and industry standards. I managed a team of three, drafting corporate documents and negotiating contracts, including risk analysis for projects worth in excess of £2million and signed-off the work of my team. I then oversaw their successful completion including financial management while coaching staff on contract management and best practice. I collated reports from the various projects and compiled report analyses to advise of adjustments to process in effect improvements in performance. For projects worth in excess of £2million I assisted in business development and client liaison in order to bid for the contract and undertake risk analysis. I liaised with insurance brokers to ensure insurance policies were in place, up to date, and had sufficient cover, and also negotiated their renewal. Show less



Thales

• France
• IT Services and IT Consulting
• 700 & Above Employee

• Legal and Compliance executive

  • Jun 2016 - May 2017

  With Thales I negotiated on behalf of the company to win client bids and negotiated with suppliers in projects ranging in value from £500,000 to £10s of millions. I drafted commercial and corporate contracts, while advising on points of law, for projects within this value range and participated in projects worth far in excess of this, such as the London Deep-Tube renovation project, HS2 and Crossrail. I researched compliance requirements and liaised with external compliance bodies and advised on policy on a multi-jurisdictional level. I provided in-house translation of contracts and interpreting in meetings for senior-level management. I interpreted contracts into laymen’s terms for management and disseminated key and relevant information of contract deliverables to the rest of the teams, varying from 5 to in excess of 30 people, across their functions to assist in smooth contract execution. Show less



DWF

• United Kingdom
• Law Practice
• 700 & Above Employee

• Senior Litigation Executive

  • Jul 2014 - Jun 2016

  While managing a team of 5 litigators and reporting to partner, I managed a large caseload of litigated cases from commencement to settlement or judgment in court. I coordinated of the work of my team and signed off their work prior to it being sent to the client or the court, while conducting periodic audits to ensure standard of service. I provided legal advice to external stakeholders and also provided advice and coaching internally, while providing education sessions on points of law and legal procedure. I performed frequent risk and cost-benefit analyses on cases in order to ensure continued profitability and efficiency. Other requirements included instructing counsel and drafting pleadings for the court which included gathering evidence and precedents. I was also heavily involved in negotiating with opposing solicitors with a view of amicable resolution prior to court. Show less