Chief Regulatory Officer

• Apr 2014 - Present

Responsible for Aquis Exchange PLC Group regulatory policy oversight. Responsible for all compliance aspects of Aquis Exchange PLC’s investment firm business and its relationship with the FCA. Leads Aquis' Artificial Intelligence research programme to apply machine learning and other techniques for trade surveillance and market activity visualisation. Responsible for Aquis Exchange PLC Group regulatory policy oversight. Responsible for all compliance aspects of Aquis Exchange PLC’s investment firm business and its relationship with the FCA. Leads Aquis' Artificial Intelligence research programme to apply machine learning and other techniques for trade surveillance and market activity visualisation.

Head Of Compliance

• Mar 2010 - Feb 2014

SmartPool Trading Limited Chief Compliance Officer NYSE Euronext European Dark Pool in partnership with HSBC, J.P. Morgan, and BNP Paribas. Developed and maintained full compliance oversight programme, reporting to the board. NYSE LIFFE CF10&11 of 3 Investment Firms and UK Employee Ethics Officer Secondment within NYSE Euronext to perform compliance function for 3 investment firms- LIFFE Services, FIX City Ltd. and SecFinex (an MTF facilitating securities lending). UK manager for employee compliance training and group compliance/ethics policy (covering all UK employees). NYSE Euronext London Market Compliance Officer Assisted in setting up a new NYSE Euronext London Recognised Investment Exchange aimed at attracting international issuers, with ongoing compliance monitoring.

Head Of Compliance

• Sep 2006 - Mar 2010

AIM company facilitating professional and retail investment in IPOs, corporate finance and stockbroking. AIM company facilitating professional and retail investment in IPOs, corporate finance and stockbroking.

Fund Manager's Assistant/Administrator

• Mar 2005 - Apr 2006

Quantitative Analyst / Compliance Officer

• Nov 2000 - Sep 2004

Quantitative research house specialising in the optimisation of government and corporate bond portfolios for large institutional clients from Europe, the US and Japan. Worked as a quantitative analyst using modelling and machine learning techniques to determine investment strategies. Led the regulatory shift from IMRO compliance to the FSA for N2 in Nov 2001. Quantitative research house specialising in the optimisation of government and corporate bond portfolios for large institutional clients from Europe, the US and Japan. Worked as a quantitative analyst using modelling and machine learning techniques to determine investment strategies. Led the regulatory shift from IMRO compliance to the FSA for N2 in Nov 2001.