Experience

Royal London Asset Management

• United Kingdom
• Financial Services
• 400 - 500 Employee

• Compliance Manager

  • Sep 2019 - Present

  London, United Kingdom Regulatory Change & Financial Crime Advisory. Previously Distribution Advisory (until August 2022)



BNY Mellon Investment Management EMEA Limited

• Distribution and Financial Promotions Compliance

  • Feb 2019 - Aug 2019

  London, United Kingdom



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• Career Break

  • Nov 2017 - Feb 2019



Insight Investment

• United Kingdom
• Investment Management
• 700 & Above Employee

• Compliance Manager

  • Feb 2010 - Nov 2017

  My principle focus at Insight was anti-money laundering, together with general compliance responsibilities. I also advised the Distribution division on any regulatory matter.



UBS

• Switzerland
• Financial Services
• 700 & Above Employee

• Senior Compliance Officer

  • May 2004 - Dec 2009

  Provide regulatory advice to the Retail business and Fund Treasury division on all aspects of fund management and administration. Fully experienced in UCITS schemes within the UK and the retail asset management world, with strong knowledge of the FSA's COLL and COBS rulebooks. Also act as Deputy MLRO for UBS Global Asset Management.



Gartmore

• Investment Management
• 1 - 100 Employee

• Marketing Compliance Officer

  • Jun 2003 - May 2004



BlackRock

• United States
• Financial Services
• 700 & Above Employee

• Vice President, EMEA Compliance

  • Aug 1993 - Mar 2003

  Initially joined Mercury Asset Management as a Statistical Analyst and moved into compliance in September 1997 just before the takover by Merrill Lynch. Was responsible for all marketing compliance for EMEA as well as any wraps for the UK retail business, eg ISAs