Experience

Omnis Investments

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Head of Risk and Compliance

  • May 2017 - Present

  London, Greater London, United Kingdom Omnis is part of the Openwork Group and offers a range of UK (UCITs) funds and related discretionary management services to the Group's customers. Omnis is developing a full and broad range of funds covering all asset classes: working closely with selected third party asset management firms and other investment specialists.



Career Break

• -

  • Jan 2016 - Apr 2017

  - Completed a major restoration project of ancient woods/parkland and a Victorian water cascade (at home). - Stayed close to regulatory developments and activity, particularly in relation to the asset management industry. - Established Gilston Consulting Limited; to offer specialist compliance/operational risk management support to clients (open to interim positions).



Mercer

• United States
• Professional Services
• 700 & Above Employee

• Chief Risk and Compliance Officer - Europe

  • Oct 2006 - Dec 2015

  London, United Kingdom Mercer employs over 20,000 people globally and provides a diverse range of investment and other consulting services to corporate, institutional and retail clients. Influence and Strategy - Managed Mercer’s transition from a provider of primarily unregulated, actuarial-led services to one where regulated services represented a significant part of the regional business. - Brought about an enhanced risk-based business culture: balancing the need for innovation and creativity with the… Show more Mercer employs over 20,000 people globally and provides a diverse range of investment and other consulting services to corporate, institutional and retail clients. Influence and Strategy - Managed Mercer’s transition from a provider of primarily unregulated, actuarial-led services to one where regulated services represented a significant part of the regional business. - Brought about an enhanced risk-based business culture: balancing the need for innovation and creativity with the firm’s regulatory and risk management responsibilities. - Re-engineered the governance structures to ensure an efficient and effective approach to business oversight - reflecting both jurisdictional and business line (matrix) responsibilities. - Established Mercer’s highly-successful European asset management business. - Delivered a number of key acquisitions across the region. - Enhanced the level of interaction and collaboration with other MMC companies to better serve common clients. - Optimised processes to enhance the initial engagement and ongoing interaction with clients. Leadership - Provided regulatory and risk management oversight, guidance and advice for 11 European markets (5,000 personnel), from which Mercer serviced clients in 60 countries. - Led a team of 24 compliance and risk management professionals. - Managed the implementation of a Code of Conduct/Ethics across the region to embed a culture of personal responsibility and reduce conduct risk. - Built strong, proactive and supportive relationships with stakeholders at all levels. Regulation - Developed strong relationships with regulators, leading to a reduced regulatory risk profile for the firm - Through the implementation of a strengthened ERM framework, including a revised risk approval process and enhanced reporting, achieved a significant reduction in regulatory capital. - Executed a range of initiatives designed to enhance awareness, controls and reporting in relation to data protection issues. Show less



J.P. Morgan

• United States
• Financial Services
• 700 & Above Employee

• Compliance Director - European Products

  • Aug 1996 - Sep 2006

  London, United Kingdom One of the largest global asset management firms providing investment services and products to institutional and retail clients across Europe. Influence and Strategy - Guided the asset management business through significant operational, cultural and regulatory changed as it transformed into JPMorgan Chase (through acquisition). - Supported the development of a range of new investment products: across asset classes, investment techniques and domiciles. - Supervised the… Show more One of the largest global asset management firms providing investment services and products to institutional and retail clients across Europe. Influence and Strategy - Guided the asset management business through significant operational, cultural and regulatory changed as it transformed into JPMorgan Chase (through acquisition). - Supported the development of a range of new investment products: across asset classes, investment techniques and domiciles. - Supervised the distribution and marketing of products and investment services to retail and professional/institutional clients. - Implemented enhanced but streamlined governance processes as the complexity of the business increased; building close partnerships with the leadership and providing regulatory guidance and advice to the mutual fund and regulated entity Boards. Leadership - Led the European Products Compliance team, which oversaw JPM’s European investment product business. - Provided extensive product, client and regulatory guidance to ensure compliance with regulation across multiple jurisdictions: from an operational/conduct of business perspective, in jurisdictions where JPM operated funds and from a marketing and distribution perspective, based on the client’s location. - Supervised a team of 12, based in a number of countries. Regulation - Implemented a number of significant EU regulatory changes (primarily MiFID and UCITs) relating to product structures and to the conduct of JPM’s business in Europe. These changes also included the need for JPM to adopt a risk-based regulatory capital model. - Acted as the registered Compliance Officer for seven of the regulated firms operated by JPM in the UK, including the mutual fund and insurance firms. - Ensured that strong and effective relationships were maintained with regulators across Europe during a period of intense regulatory scrutiny. Show less



Investment Management Regulatory Organisation (IMRO)

• Assistant Team Manager

  • Aug 1994 - Aug 1996

  London, United Kingdom - Provided specialist, asset management related guidance to the IMRO Supervision Division. - Supervised a group of subject matter experts that monitored large asset management firms and mutual fund providers in the UK. - Designed and implemented enhanced review protocols for use in the supervision of asset management firms.



The Securities and Investments Board

• Compliance Officer

  • Mar 1993 - Aug 1994

  London, United Kingdom SIB was the statutory regulator in the United Kingdom. I worked in SIBRO, the direct regulation division of SIB. As a Compliance Officer my role was to: - Supervise the financial services operations of a number of the largest UK banks and building societies. - Assist in the transition of SIB’s directly regulated firms to other regulatory bodies following the re-drawing of the UK regulatory structure. As part of the regulatory transformation and recognising my specialist asset… Show more SIB was the statutory regulator in the United Kingdom. I worked in SIBRO, the direct regulation division of SIB. As a Compliance Officer my role was to: - Supervise the financial services operations of a number of the largest UK banks and building societies. - Assist in the transition of SIB’s directly regulated firms to other regulatory bodies following the re-drawing of the UK regulatory structure. As part of the regulatory transformation and recognising my specialist asset management expertise, I was asked to transfer to IMRO. Show less



Touche Remnant/Henderson Global Investors

• Head of Mutual Fund Operations

  • Mar 1986 - Mar 1993

  London, United Kingdom This was a large UK asset management firm providing services to institutional and retail clients. - Led the Mutual Fund Operations Team for a highly successful UK mutual fund and investment trust provider. - Supported the business through three acquisitions (by US, French and UK firms). - Supervised a group of over 50 people.