Experience

Optima Partners Compliance Advisory

• United States
• Financial Services
• 1 - 100 Employee

• Partner

  • Jun 2014 - Present

  A global regulatory compliance advisory firm providing services for hedge fund and private equity fund managers, broker/dealers and investment banks. Specialist knowledge of FCA, SEC and CFTC regulation. A global regulatory compliance advisory firm providing services for hedge fund and private equity fund managers, broker/dealers and investment banks. Specialist knowledge of FCA, SEC and CFTC regulation.



Kinetic Partners LLP and Kinetic Partners US LLP

• London and New York

• Regulatory Consultant

  • May 2010 - Jun 2014

  Experienced designing and implementing global regulatory frameworks for asset managers subject to FCA, SEC and CFTC regulation. Working with compliance officers to develop global compliance monitoring programs and establish ongoing testing and review procedures. Providing ongoing compliance support to hedge funds, private equity, corporate finance and venture capital firms. Detailed knowledge of ICAAPs, liquidity, remuneration and bribery policies. GABRIEL returns, Form PF, Form CPO-PQR, NFA-PQR, CTA-PR, EMIR reporting and Form ADV. FCA and AIFMD applications, SEC and CFTC registrations. Conducting mock examinations of SEC investment advisers and CFTC commodity pool operators. Strong technical understanding of: - FCA, SEC and CFTC rules - MiFID, EMIR and AIFMD - Dodd-Frank Key projects - Global lead developing Kinetic Partners' CFTC product offering - Leading Kinetic Partners' EMIR buyside project - Lead developing Kinetic Partners' Bribery and Remuneration product offerings - Leading SEC and NFA mock examinations - Contributing to GRO project Commentaries include: - Commentary, Hedge Funds Review, “Mandatory registration of hedge funds with the SEC should boost credibility of industry” (27 February 2012) - Commentary, The Hedgefund Journal, ”Clamping down on the global derivatives market” (15 October 2012). - Interview, COO Connect, “Hedge funds must hurry up with CFTC registration” (12 July 2012). - Speaker, Kinetic Partners, “CFTC: To Register or Not to Register” (June 2012)



Financial Ombudsman Service

• United Kingdom
• Financial Services
• 700 & Above Employee

• Financial Services Adjudicator

  • Feb 2009 - May 2010

  Investments and banking Investments and banking



Dell Cheetah Centre

• Volunteer

  • Oct 2009 - Nov 2009

  Volunteer helping to raise and rehabilitate cheetahs and lions cubs back into the wild. Volunteer helping to raise and rehabilitate cheetahs and lions cubs back into the wild.



Linklaters

• United Kingdom
• Law Practice
• 700 & Above Employee

• FMG Major Projects

  • Oct 2007 - Sep 2008

  - Regulatory investigations - Hostile takeover of a global investment bank by a consortium of banks - Contract negotiation - Friendly takeover of an asset manager by an investment bank - Regulatory investigations - Hostile takeover of a global investment bank by a consortium of banks - Contract negotiation - Friendly takeover of an asset manager by an investment bank