Experience

Arrow Global Group

• United Kingdom
• Financial Services
• 300 - 400 Employee

• Senior Compliance Manager

  • May 2023 - Present

  Devon, England, United Kingdom



Ectropy

• Business Consulting and Services
• 1 - 100 Employee

• Regulation & Compliance Specialist

  • Jun 2022 - Oct 2023

  United Kingdom Regulation Advisory



GreySpark Partners

• United Kingdom
• Capital Markets
• 1 - 100 Employee

• Reg/Compliance Consultant

  • Mar 2021 - Oct 2023

  Devon, England, United Kingdom



ofi

• Singapore
• Food and Beverage Services
• 700 & Above Employee

• Consultant

  • Jun 2022 - Dec 2022

  United Kingdom Policy management, code of conduct and translation arbitrage.



Various small businesses

• Retail
• 400 - 500 Employee

• Multi Professional

  • Jan 2011 - Mar 2021



Macquarie Bank

• Associate Director

  • Aug 2018 - Jul 2020

  London, Greater London, United Kingdom E-Trading Compliance



BNP Paribas

• France
• Banking
• 700 & Above Employee

• Compliance Officer

  • Dec 2015 - Feb 2018

  Marylebone, Greater London, United Kingdom • Senior Management exposure through bi-monthly CORE, monthly Functional Ex-Co, Weekly CFL (Listed) regulatory meetings • Responding to Regulatory Requests e.g. CFTC Form 40, LCH KYC Refresh, CFTC 4g Requests, FCM Due Diligence requests, ensuring that the bi-annual OFAC Iralco /Sherritt is reported, supplying quarterly CD French Banking Law (FBL) metrics, populating the Compliance Risk Management System (CRMS) • NAC/TAC (new activity and transaction) Review/Committee • Structured… Show more • Senior Management exposure through bi-monthly CORE, monthly Functional Ex-Co, Weekly CFL (Listed) regulatory meetings • Responding to Regulatory Requests e.g. CFTC Form 40, LCH KYC Refresh, CFTC 4g Requests, FCM Due Diligence requests, ensuring that the bi-annual OFAC Iralco /Sherritt is reported, supplying quarterly CD French Banking Law (FBL) metrics, populating the Compliance Risk Management System (CRMS) • NAC/TAC (new activity and transaction) Review/Committee • Structured product review and approval (Restructures, Off Market, High Margin) • Marketing material review and approval • Responding on IG Audit CFL and Compliance Review of Commodity Derivatives (OTC) business & associated issues, actions etc. • Involved in the CoI review for CD with business • Respond on exchange enquiries CME (position limits, EFRPs), ICE (client reporting queries), LME member audit (LGTR, DRPS, LIPS, vols) etc. • Policy, procedure, guidance drafting and issuance, • MI reporting and contributing to weekly Compliance flash, • Licencing and permissions resolution work, • Registration reviews (CP v APR) for different entities • Policy work and regulatory input for upcoming legislation for various workstreams e.g. market soundings, MiFiD II, REMIT, MAR, Best Execution, Position Limits etc. • Projects: MI, Smart Derivatives Tool, Managing Information flows, Austrian Gas reporting, Kingdom of Saudia Arabia (KSA) notification to trade process, Visitor Trading Floor Access Form, establishing a written process for Vendor Checks e.g. Warehouses and Vessel, Out of Hours and Nice Voice Own Playback process etc. • Provide Training e.g. Induction, Refresher, Blocks & EFRPs, 15a6 etc. • Member of the FIA’s Metal, EEGW and Ags working groups Product Exposure: Energy, Metals and Investor Business (index) Show less



Barclays Corporate & Investment Bank

• United States
• Financial Services
• 700 & Above Employee

• Compliance Officer

  • May 2015 - Nov 2015

  Canary Wharf • Cover Crude Oil and PM Sales and Trading • Complete risk mapping of Commodities Precious Metals and Energy per the Compliance Risk Assessment (CRA) annual program me. • Transition over the ICE/LME administrator roles to relevant risk/markets clearing teams. • Host monthly meeting with senior Trading and Sales heads, minute meeting and action items • Undertake Verification Checks (VC - thematic reviews) on Suitability, Indian Consignment business, Gold Decline 20/7, Conflicts of… Show more • Cover Crude Oil and PM Sales and Trading • Complete risk mapping of Commodities Precious Metals and Energy per the Compliance Risk Assessment (CRA) annual program me. • Transition over the ICE/LME administrator roles to relevant risk/markets clearing teams. • Host monthly meeting with senior Trading and Sales heads, minute meeting and action items • Undertake Verification Checks (VC - thematic reviews) on Suitability, Indian Consignment business, Gold Decline 20/7, Conflicts of Interest Sales Practices, PM Vault business and Registrations • Responsible for completing Compliance Risk Assessment for FX and Commodities - mapping risks, applying risk weighting and lessons learnt to pre selected themes • Investigating & defining a process for Commodities interaction with Risk Solutions Group (private side) • Drafting policies, procedures and guidance for business (Best Execution, Market Colour and Energy Digital Barrier Guidance- in conjunction with business • Provide sign off on marketing materials • Investigate escalated e-Comms, meet with supervisors and breach personnel in conjunction with Breach team • Provide training - new joiner and refresher including ad hoc thematic training when issues are identified Product Exposure: Precious Metals (FX) and Crude Oil Achievements: Successful completion of VCs, training, providing input to WG e.g. RAC REMIT/FIA Metals WG etc.co-operate to successfully close audit item Show less



Deutsche Bank

• Germany
• Financial Services
• 700 & Above Employee

• Compliance Officer

  • Oct 2013 - Dec 2014

  London, United Kingdom Product coverage for commodities (Dry Bulk, Uranium, Oil, Emissions and residual EU Power and Gas, Mine Finance, with a particular emphasis on metals, precious and base - LME queries e.g. DPRS, COTR, CVRS, LIPS, etc. Lead on the LME audit cycle of the base metals business.Liaised with LME for required info. Lead contact for Mine Finance, - restructures debt for listed, low capitalisation mining companies in default. Involved in managing & tightening controls to better protect information flow… Show more Product coverage for commodities (Dry Bulk, Uranium, Oil, Emissions and residual EU Power and Gas, Mine Finance, with a particular emphasis on metals, precious and base - LME queries e.g. DPRS, COTR, CVRS, LIPS, etc. Lead on the LME audit cycle of the base metals business.Liaised with LME for required info. Lead contact for Mine Finance, - restructures debt for listed, low capitalisation mining companies in default. Involved in managing & tightening controls to better protect information flow. Involved in the LMEClear project migration. Lead for CFTC enquiries e.g. gold and silver special call, NYMEX Jet Fuel etc. Responsible for form 40S submission to CFTC. Responsible for responding to commodity audit points. Responsible for EFRP requests for information from the CME. Lead co-ordinator for ‘Special Commodities Group’ collection of data when this group merged into None Core Operating Unit (NCOU). Performed a business directed (Louise Kitchen) review of ‘Sharepoint and Datarooms’ for the legacy business (Base Metals, Mine Finance, European Power and Gas, Uranium, Oil, Dry Bulk etc.) as the business sought to sell these assets to competitors. The review was to test the information control and ‘need to know’ access. Lead on regulatory developments for REMIT with information dispersal to various stakeholders including attendance at FIA REMIT working group and FCA MiFID II conference/talks, responding to questions on ESMA MAR regarding emissions. Assisted in the performance of delivering class room based training for FX staff globally on market conduct rules and assisted in putting together a training pack for ‘Correlation Index Group’ on blocks and exchange for related positions. Contributed to NTA/NPA sign offs for related commodity products, review of marketing material with approval. Set up monthly compliance calls for US and Asia to help build closer relationships with these regions as the compliance function was otherwise siloed. Show less



Lloyds Banking Group

• United Kingdom
• Financial Services
• 700 & Above Employee

• Sophistication Assessor- Compliance Oversight

  • Feb 2013 - May 2013

  London, United Kingdom ​Assessing clients for Sophistication/Non Sophistication using a Sophistication ​template applying the 6 Tests: Customer Objective, Customer Notional, ​Companies Act Group Objective, Companies Act Group Notional, BIPRU ​Group Notional and Knowledge and Experience Tests. Collecting evidence via ​internal databases GoldMine, Image Now and Documentum. Accesssing ​Experian reports for company reports, trading history etc. Obtaining ​information via FCA, CII, CFA and Actuaries websites… Show more ​Assessing clients for Sophistication/Non Sophistication using a Sophistication ​template applying the 6 Tests: Customer Objective, Customer Notional, ​Companies Act Group Objective, Companies Act Group Notional, BIPRU ​Group Notional and Knowledge and Experience Tests. Collecting evidence via ​internal databases GoldMine, Image Now and Documentum. Accesssing ​Experian reports for company reports, trading history etc. Obtaining ​information via FCA, CII, CFA and Actuaries websites, Charities Commission ​website, ​Dunn and Bradstreet, Company web pages, speaking with Relationship ​Managers for additional information etc. to determine Sophistication /Non-​sophistication outcome via the 6 tests. Show less



Merrill Lynch

• United States
• Financial Services
• 700 & Above Employee

• VP

  • Jan 2007 - Oct 2010

  Floor based advisory to FICC world, covering Exotics, EM, Credit, Syndication and Sales. Commodities coverage for metals (base/precious), power, gas, crude oil and products, freight, coal, sales, structured notes, analysts, emissions and weather (softs and Liquified Natural Gas (LNG)). New products review, advice and committee approval. Exposure to regulators through various applications - setting up a branch, change of control and variation of permission. Instrumental player in the… Show more Floor based advisory to FICC world, covering Exotics, EM, Credit, Syndication and Sales. Commodities coverage for metals (base/precious), power, gas, crude oil and products, freight, coal, sales, structured notes, analysts, emissions and weather (softs and Liquified Natural Gas (LNG)). New products review, advice and committee approval. Exposure to regulators through various applications - setting up a branch, change of control and variation of permission. Instrumental player in the LME audit and partner to the business on the CAD II visit. Lead on obtaining an OFAC license for IRALCO Iranian warrants. Manage exchange relationships for LME Select and ICE. A member of the FOA’s Metals Working Group. Responsible for delivering information for the CFTC: form 40’s and national crude oil investigation, also FERC requests. Handle other submissions: for Singapore - paragraph 9 application, for Australia - ASIC bi-annual confirmations. Project managed Treating Customers Fairly (TCF), and telephone taping implementation across business lines. Senior manager exposure through Desk Head roundtables, Control Committee/Board meetings, along with preparing associated reports. Support the monitoring associate with surveillance reports. Provide training to the business and ad hoc reviews. Show less



Nomura

• Financial Services
• 700 & Above Employee

• Compliance Officer

  • Apr 2005 - Jan 2007

  Floor based advisory for Credit. New product approval, desk reviews, training etc.



Credit Suisse

• Switzerland
• Banking
• 700 & Above Employee

• compliance analyst

  • 2001 - 2002