Experience

Maples Group

• Cayman Islands
• Financial Services
• 700 & Above Employee

• Regulatory Associate

  • Aug 2021 - Present



Rawlinson and Hunter Cayman Partnership

• Chief Risk and Compliance Officer

  • Oct 2018 - Aug 2021

  • Member of Cayman Finance, an industry body which represents the Cayman Islands financial services sector during legislative and regulatory consultations with the Cayman Islands government and the regulator, the Cayman Islands Monetary Authority (CIMA) • Member of the Cayman Islands Compliance Association, a not for profit organisation seeking to share best practice and raise the level of compliance in the financial services industry• Leads legal and regulatory change covering The R&H Trust Co. Ltd (trust and corporate services); The Harbour Trust Co Ltd (director and officer services); R&H Private Fund Services (Cayman) Limited (fund administration); and R&H Restructuring (restructuring services in Cayman and the British Virgin Islands) • Lead compliance with the general data protection regulations (GDPR), Cayman data protection law and the “economic substance” requirements • Oversees Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standards (CRS) classification and reporting • Lead, drafted and implemented a revised prevention of financial crime model enhancing sanctions awareness • Primary point of contact for the Financial Reporting Authority (FRA)



Oak Pension Asset Management Limited | Barclays Bank UK Retirement Fund | Barclays Bank PLC

• Head of Legal and Compliance | Director

  • Jul 2017 - Oct 2018

  • Deemed a material risk taker and senior manager for Barclays Bank PLC - assisted to implement the senior managers regime • Named compliance officer (CF10) and Money Laundering Reporting Officer (CF11) for OPAM at the Financial Conduct Authority (FCA) • Responsible for legal and regulatory compliance of OPAM, the investment manager and investment advisor to the Barclays UK retirement fund • Oversaw the defined benefit and defined contribution schemes, a portfolio of hedge funds, private equity, liability driven investing, contractual cash flow matching and other diversifying assets • Point of contact for any queries from regulators, responded to consultation papers • Delivered the Markets in Financial Instruments Directive (MiFID II) compliance• Consulted on the statement of investment principles, investment decisions and the de-risking programme• Assisted with legal documentation including the investment and advisory agreement, non disclosure agreements, ISDA and service agreements• Implemented a revised compliance monitoring programme and financial crime risk assessment • Reported to the OPAM board, trustee audit committee and trustee board (senior executives of Barclays Bank PLC) and responded to questions/challenge • Engaged with the scheme actuary and Barclays bank’s executive committee • Directed a wider team of legal and compliance professionals using a risk based approach



Barclays Bank PLC

• Head of Fund Governance

  • Sep 2011 - Jul 2017

  Governance • Implemented a new governance model in Barclays Asset Management Limited • Restructured and streamlined board reports and advised directors on fund boards in Ireland, UK, Luxembourg and Jersey (UCITS, AIFM and Jersey collective investment) • Managed relationship with internal stakeholders including product/investment managers, financial crime, operational risk, monitoring and testing, and internal audit as well as external stakeholders including company secretaries, the funds’ money laundering reporting officers (MLRO) and external counsel• Contact point for external auditors, trustee/depositary, regulators and due diligence requests/visits• Drafted fund launch and closure procedures Legal and Regulatory Management/Compliance • Reviewed and advised on constitutional and fund documentation, trust deeds, investment management, distribution, administration and service level agreements• Global lead for funds on MiFID II, focus on costs and charges and product governance • Managed Volcker, CASS 8, financial crime and other regulatory attestations and reviews• Drafted policies and standards to ensure compliance with law and regulation• Acted as complaints, information risk, conduct risk and conflict of interest champion• Monitored breaches (investment and operational) and oversaw regulatory reportingRisk, Control and Governance - Vice President • Responsible for liquidating legal entities and undertaking due diligence to prepare the offshore trust business for sale to Zedra • Risk partner to insurance, pensions and offshore bonds (Wealth Advisory)



Seddons Solicitors

• Trainee Solicitor

  • Sep 2009 - Sep 2011

  Advised hedge funds and a collective investment scheme on FCA regulations•Assisted with corporate funding matters, including restructuring arrangements, factoring, debt finance and private equity deals •Drafted loan notes, debentures, guarantees, investment and option agreements•Prepared board minutes, incorporated limited companies, wrote up company books, prepared bibles and completed Companies House forms•Handled aspects of corporate transactional work, including acquisitions and disposals, management buy outs, business and asset transfers•Acted for a defendant in respect of a breach of an alleged unregulated loan agreement •Opined on a claim against Equitas, (reinsures and runs off non-life liabilities of names or underwriters, at Lloyd's of London)•Assisted with a costs application at the Supreme Court and ensured compliance with the Civil Procedure Rules (CPR)



Royal Bank of Scotland

• Senior Auditor

  • Jan 2008 - Sep 2009

  •Received an Ovation award for contribution to a report which was presented to the RBS Board of Directors and the Chief Executive Officer•Assessed legal, regulatory and market risk, credit worthiness, finance, front, middle and back office functions and general corporate governance•Monitored foreign legal opinions in relation to ISDA master netting and collateral agreements in adherence to BIPRU, the FSA’s Prudential Sourcebook for Banks, Building Societies and Investment Firms •Received an Ovation award for contribution to a report which was presented to the RBS Board of Directors and the Chief Executive Officer•Assessed legal, regulatory and market risk, credit worthiness, finance, front, middle and back office functions and general corporate governance•Monitored foreign legal opinions in relation to ISDA master netting and collateral agreements in adherence to BIPRU, the FSA’s Prudential Sourcebook for Banks, Building Societies and Investment Firms



Lloyds TSB

• Management Trainee (Products and Markets)

  • Sep 2006 - Dec 2007

  •Reviewed exit strategies in Lloyds Development Capital private equity arm•Completed asset quality review of the business portfolios in Corporate Asset Finance •Analysed databases and procedures in Project Finance and Structured Finance •Reviewed exit strategies in Lloyds Development Capital private equity arm•Completed asset quality review of the business portfolios in Corporate Asset Finance •Analysed databases and procedures in Project Finance and Structured Finance



Kaye Scholer LLP

• Law Practice
• 200 - 300 Employee

• Corporate Paralegal

  • Mar 2006 - Sep 2006

  •Mentioned in the Mergers and Acquisitions magazine for contribution to the acquisition of Springboard plc by Nova Capital Group Limited (£11.7 million)•Complied with the City Code in preparation of a hostile takeover offer document, which changed to a recommended bid •Mentioned in the Mergers and Acquisitions magazine for contribution to the acquisition of Springboard plc by Nova Capital Group Limited (£11.7 million)•Complied with the City Code in preparation of a hostile takeover offer document, which changed to a recommended bid