Experience

Tenet Group
• United Kingdom
• Financial Services
• 100 - 200 Employee
• Reguatory Policy Manager

  • Jun 2019 - Present

MANSE CAPITAL LIMITED
• United Kingdom
• Financial Services
• Compliance Manager

  • Apr 2018 - Jun 2019


Pantheon Financial Limited

• United Kingdom
• Banking

• Head of Technical and Regulatory Services

  • Oct 2007 - Feb 2018

  Responsible for Compliance Oversight (CF10) and MLRO (CF11) for the three regulated group firms. Managing a small team that :- Ensured that the group's three directly authorised regulated firms comply with the requirements of the requirements of the Financial Conduct Authority Provided the Group's financial advisers and paraplanners with technical training/coaching and support when dealing with more complex issues/cases Responsible for Compliance Oversight (CF10) and MLRO (CF11) for the three regulated group firms. Managing a small team that :- Ensured that the group's three directly authorised regulated firms comply with the requirements of the requirements of the Financial Conduct Authority Provided the Group's financial advisers and paraplanners with technical training/coaching and support when dealing with more complex issues/cases


MIA Financial Services
• Australia
• Financial Services
• 1 - 100 Employee
• Technical Manager

  • 1994 - 2007