Experience

Ziglu

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Head of Compliance and MLRO

  • Jan 2021 - Present



Funding Circle UK

• United Kingdom
• Financial Services
• 300 - 400 Employee

• Deputy Chief Compliance Officer

  • May 2018 - Nov 2020



Newport Parish Council

• Newport, Essex, UK

• Chairman

  • May 2004 - Apr 2019

  Initially elected Parish Councilor in 2004 and from 2007 Chairman of my village Parish Council. Responsibility for a wide range of issues. Key accomplishments: Created a new Youth Club for Newport, in 2006, meeting local needs for young people; Fundraised £280k to build a new Youth Club for the village in 2011; Spearheading development of affordable housing for Newport. Led a number of other village initiatives, and represented the village at events. Proud to have been asked to join HRH… Show more Initially elected Parish Councilor in 2004 and from 2007 Chairman of my village Parish Council. Responsibility for a wide range of issues. Key accomplishments: Created a new Youth Club for Newport, in 2006, meeting local needs for young people; Fundraised £280k to build a new Youth Club for the village in 2011; Spearheading development of affordable housing for Newport. Led a number of other village initiatives, and represented the village at events. Proud to have been asked to join HRH Princess Anne on an Affordable Housing Panel, and later hosting HRH as she opened the first affordable site in Newport. Show less Initially elected Parish Councilor in 2004 and from 2007 Chairman of my village Parish Council. Responsibility for a wide range of issues. Key accomplishments: Created a new Youth Club for Newport, in 2006, meeting local needs for young people; Fundraised £280k to build a new Youth Club for the village in 2011; Spearheading development of affordable housing for Newport. Led a number of other village initiatives, and represented the village at events. Proud to have been asked to join HRH… Show more Initially elected Parish Councilor in 2004 and from 2007 Chairman of my village Parish Council. Responsibility for a wide range of issues. Key accomplishments: Created a new Youth Club for Newport, in 2006, meeting local needs for young people; Fundraised £280k to build a new Youth Club for the village in 2011; Spearheading development of affordable housing for Newport. Led a number of other village initiatives, and represented the village at events. Proud to have been asked to join HRH Princess Anne on an Affordable Housing Panel, and later hosting HRH as she opened the first affordable site in Newport. Show less



Wells Fargo

• United States
• Financial Services
• 700 & Above Employee

• EMEA Head of Compliance Testing and Monitoring

  • Sep 2015 - Apr 2018



Centrica Energy

• Senior Compliance Officer

  • May 2012 - Jul 2015



Standard Bank Group

• South Africa
• Financial Services
• 700 & Above Employee

• London Head Compliance Monitoring

  • Feb 2010 - Apr 2012

  Senior Manager Senior Manager



UDC

• District Councillor

  • 2006 - May 2011

  I was one of 2 elected members of the council for the Newport, Rickling, Quendon and Widdington ward within the district of Uttlesford. I helped devise the councils risk management system, being member risk champion before stepping down in May 2011 to focus on other interests. I was one of 2 elected members of the council for the Newport, Rickling, Quendon and Widdington ward within the district of Uttlesford. I helped devise the councils risk management system, being member risk champion before stepping down in May 2011 to focus on other interests.



Northern Trust

• United States
• Financial Services
• 700 & Above Employee

• Vice President - Compliance & Risk

  • Jul 2007 - Feb 2010

  Fostered and maintained good relationships with business units and also colleagues in NT's Anti Financial Crime team, Audit Team and Risk areas;and, Maintained procedures and templates as necessary. Recent work has included a review of AML KYC/CDD client files at NT's Guernsey Office, a themed review of Training and Competence, Anti Financial Crime Controls at NT, Data Privacy and review of reporting requirements for NT's proposed Sweden Sales Office. Work in early 2010 included a review… Show more Fostered and maintained good relationships with business units and also colleagues in NT's Anti Financial Crime team, Audit Team and Risk areas;and, Maintained procedures and templates as necessary. Recent work has included a review of AML KYC/CDD client files at NT's Guernsey Office, a themed review of Training and Competence, Anti Financial Crime Controls at NT, Data Privacy and review of reporting requirements for NT's proposed Sweden Sales Office. Work in early 2010 included a review of AML in London and Guernsey. The establishment and management of risk based procedures and standards for Monitoring and Testing activities to meet relevant rules and regulations;The development and implementation of a risk based UK M & T Plan for NT in April 2007, and together with the new Regional Manager the new plan for 2008/2009;Worked with the Global Director for Monitoring and Testing to develop a Global Methodology and initial Global Plan in May 2008;Development of relationships with other areas of the business to mutual benefit. (i.e. with internal audit management to coordinate testing efforts and avoid unnecessary duplication); On going development and management of the UK plan, prior to the appointment of the Regional Manager, including, managing the M&T Team; Meeting with auditors and regulators as necessary; Supervise the development of team members work, including training new employees or those with lesser experience, reviewing work of others, and providing regular feedback. Show less Fostered and maintained good relationships with business units and also colleagues in NT's Anti Financial Crime team, Audit Team and Risk areas;and, Maintained procedures and templates as necessary. Recent work has included a review of AML KYC/CDD client files at NT's Guernsey Office, a themed review of Training and Competence, Anti Financial Crime Controls at NT, Data Privacy and review of reporting requirements for NT's proposed Sweden Sales Office. Work in early 2010 included a review… Show more Fostered and maintained good relationships with business units and also colleagues in NT's Anti Financial Crime team, Audit Team and Risk areas;and, Maintained procedures and templates as necessary. Recent work has included a review of AML KYC/CDD client files at NT's Guernsey Office, a themed review of Training and Competence, Anti Financial Crime Controls at NT, Data Privacy and review of reporting requirements for NT's proposed Sweden Sales Office. Work in early 2010 included a review of AML in London and Guernsey. The establishment and management of risk based procedures and standards for Monitoring and Testing activities to meet relevant rules and regulations;The development and implementation of a risk based UK M & T Plan for NT in April 2007, and together with the new Regional Manager the new plan for 2008/2009;Worked with the Global Director for Monitoring and Testing to develop a Global Methodology and initial Global Plan in May 2008;Development of relationships with other areas of the business to mutual benefit. (i.e. with internal audit management to coordinate testing efforts and avoid unnecessary duplication); On going development and management of the UK plan, prior to the appointment of the Regional Manager, including, managing the M&T Team; Meeting with auditors and regulators as necessary; Supervise the development of team members work, including training new employees or those with lesser experience, reviewing work of others, and providing regular feedback. Show less



PwC

• Professional Services
• 700 & Above Employee

• Consultant Regulatory Practice

  • Aug 1999 - Jun 2007

  Building a comprehensive Compliance Monitoring Programme for Northern Trust to meet the FSA's requirements (December 2006 to February 2007, Seconded to NT March to June 2007) Conducting controls testing over two phases to assist Mizuho Bank identify its readiness for Sarbanes Oxley, where there may be weaknesses and enable its senior managers prepare for its internal and external deadlines; Revision and finalisation of controls documentation in the Sarbanes Oxley project for Deutsche… Show more Building a comprehensive Compliance Monitoring Programme for Northern Trust to meet the FSA's requirements (December 2006 to February 2007, Seconded to NT March to June 2007) Conducting controls testing over two phases to assist Mizuho Bank identify its readiness for Sarbanes Oxley, where there may be weaknesses and enable its senior managers prepare for its internal and external deadlines; Revision and finalisation of controls documentation in the Sarbanes Oxley project for Deutsche Bank; Planning and conducting regulatory audit work with PwC's Assurance Practice, working on a large variety of UK Building Society, Banking, Friendly Society, Independent Financial Advisers, and Insurance Company Clients (e.g. Britannia Building Society, Standard Life, and Alexander Forbes). These audits covered AML and other Anti Financial Crime controls, other regulatory risks for those businesses such as capital adequacy and complaints handling, and governance controls.; Conducted SAS 70 controls identification and testing for The Man Group Plc, with regards to Hedge Funds; Management of the Quality Assurance team for Sun Life of Canada to assist their past business review; The project management of a large PwC team working for Royal Liver, involving senior management level client liaison, and driving the team to achieve their ambitious targets; Secondment to Sun Life of Canada to manage specific elements of their mortgage endowment complaints department; and Delivering effective training to both PwC and is clients staff. Show less Building a comprehensive Compliance Monitoring Programme for Northern Trust to meet the FSA's requirements (December 2006 to February 2007, Seconded to NT March to June 2007) Conducting controls testing over two phases to assist Mizuho Bank identify its readiness for Sarbanes Oxley, where there may be weaknesses and enable its senior managers prepare for its internal and external deadlines; Revision and finalisation of controls documentation in the Sarbanes Oxley project for Deutsche… Show more Building a comprehensive Compliance Monitoring Programme for Northern Trust to meet the FSA's requirements (December 2006 to February 2007, Seconded to NT March to June 2007) Conducting controls testing over two phases to assist Mizuho Bank identify its readiness for Sarbanes Oxley, where there may be weaknesses and enable its senior managers prepare for its internal and external deadlines; Revision and finalisation of controls documentation in the Sarbanes Oxley project for Deutsche Bank; Planning and conducting regulatory audit work with PwC's Assurance Practice, working on a large variety of UK Building Society, Banking, Friendly Society, Independent Financial Advisers, and Insurance Company Clients (e.g. Britannia Building Society, Standard Life, and Alexander Forbes). These audits covered AML and other Anti Financial Crime controls, other regulatory risks for those businesses such as capital adequacy and complaints handling, and governance controls.; Conducted SAS 70 controls identification and testing for The Man Group Plc, with regards to Hedge Funds; Management of the Quality Assurance team for Sun Life of Canada to assist their past business review; The project management of a large PwC team working for Royal Liver, involving senior management level client liaison, and driving the team to achieve their ambitious targets; Secondment to Sun Life of Canada to manage specific elements of their mortgage endowment complaints department; and Delivering effective training to both PwC and is clients staff. Show less



Royal London

• United Kingdom
• Financial Services
• 700 & Above Employee

• Technical Team Leader

  • Aug 1998 - Aug 1999

  Past Business Review Past Business Review



during Career Break

• Carpenter

  • Jan 1998 - Jul 1998

  Spent time training to be a Carpenter Spent time training to be a Carpenter



Bradstock Group Services

• Compliance Assistant

  • Dec 1995 - Jan 1998

  General Compliance work; Past Business Review General Compliance work; Past Business Review



Hillier Hopkins LLP

• United Kingdom
• Accounting
• 100 - 200 Employee

• Financial Services Assistant

  • Apr 1995 - Oct 1995



Clerical Medical Investment Group

• Senior Administrator

  • Aug 1986 - Jan 1995