Experience

Weatherbys Private Bank

• United Kingdom
• Banking
• 100 - 200 Employee

• Head Of Compliance (SMF16)

  • Sep 2019 - Present



St. James’s Place

• United Kingdom
• Financial Services
• 700 & Above Employee

• Head of Risk and Compliance

  • Feb 2018 - Sep 2019



Mattioli Woods plc

• United Kingdom
• Financial Services
• 300 - 400 Employee

• Group Head of Risk and Compliance

  • Nov 2016 - Sep 2017

  Worked for a wealth management to enhance and professionalise their compliance department along with implementing a risk management framework and to provide second line oversight for key regulatory projects namely MiFID II, GDPR and the SM&CR. Worked for a wealth management to enhance and professionalise their compliance department along with implementing a risk management framework and to provide second line oversight for key regulatory projects namely MiFID II, GDPR and the SM&CR.



C. Hoare & Co.

• United Kingdom
• Banking
• 300 - 400 Employee

• Head of Business Operations (Relationship Managers)

  • Nov 2013 - Oct 2016

  • Set up the Operations function within the private banking division of the Bank• Set up a Quality Assurance function • Responsible for overseeing and embedding the division’s risk management function and implementing the Risk Control Self Assessment methodology • Responsible for banking services within the private banking division • Responsible for oversight of the first line compliance assurance and consulting activities of the division• Responsible for project managing the implementation of the Mortgage Market Review and the Mortgage Credit Directive• Responsible for overseeing Training and Competence and signing off each Relationship Manager’s records• Member of the bank’s Executive Committees Show less

• Head of Internal Audit

  • Feb 2007 - Nov 2013

  • Responsible for setting up the Internal Audit department • Managed a team of four Internal Auditors• Provided assurance for all areas of the Bank including Relationship Management, Wealth Management, Operations and IT• Ensured that internal audit findings and recommendations were followed up and implemented adequately and reported management progress to the Executive and Audit Committee• Managed a number of co-sourced engagements (Deloitte, BDO and EY) to assist with assurance work• Attendee and key role in running the Audit Committee and regular attendee at the Board and Executive Committee• Key contact with the regulator during supervisor and thematic visits Show less



Wesleyan

• United Kingdom
• Financial Services
• 700 & Above Employee

• Head of Internal Audit, Investment Management Compliance Officer and MLRO

  • Mar 1998 - Jan 2007

  March 1998 – January Compliance Officer (Investment Management) and Internal Audit 2007 Manager August 2003 – January Money Laundering Reporting Officer 2007 March 1998 – January Compliance Officer (Investment Management) and Internal Audit 2007 Manager August 2003 – January Money Laundering Reporting Officer 2007



Beneficial Bank

• United States
• Banking
• 200 - 300 Employee

• Financial Accountant

  • Jan 1996 - Mar 1998

  Involved with the preparation of management and company accounts Responsible for preparation of the (then) Inland Revenue, HMCE and Bank of England regulatory returns Conducted internal audit reviews of the finance function Involved with the preparation of management and company accounts Responsible for preparation of the (then) Inland Revenue, HMCE and Bank of England regulatory returns Conducted internal audit reviews of the finance function



PwC

• Professional Services
• 700 & Above Employee

• Senior Auditor

  • Sep 1993 - Feb 1996

  Trainee Auditor to Audit Senior Trainee Auditor to Audit Senior



Barclays UK

• United Kingdom
• Banking
• 700 & Above Employee

• Securities Manager

  • Oct 1986 - Sep 1990

  Entered under a management training programme working in various departments within the bank including personal and corporate accounts, cashiers, lending and financial services and securities. Entered under a management training programme working in various departments within the bank including personal and corporate accounts, cashiers, lending and financial services and securities.