Rowan Platt

Head of Compliance at Dozens
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Contact Information
us****@****om
(386) 825-5501
Location
London, United Kingdom, GB

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Credentials

  • Admitted to the High Court and Federal Courts of Australia
    High Court of Australia
    Jan, 2011
    - Nov, 2024
  • Legal Practising Certificate
    The Law Society of NSW
    Jan, 2011
    - Nov, 2024

Experience

  • Dozens
    • United Kingdom
    • Financial Services
    • 1 - 100 Employee
    • Head of Compliance
      • Jan 2021 - Present

      Responsible for the firm’s compliance with all regulatory requirements and internal policies and procedures, including owning the firm’s compliance monitoring programme.Managing the firm’s relationship with the FCA, including Supervision teams for both E-Money and MiFID licences.

  • Herbert Smith Freehills
    • United Kingdom
    • Law Practice
    • 700 & Above Employee
    • Senior Associate
      • Mar 2015 - Jun 2020

      Part of the Financial Services Regulatory team, I worked on FCA & PRA enforcement investigations, internal investigations, and customer complaints handling matters, including dealing with the FOS. Advised on compliance with FCA Handbook requirements, regulatory permissions, and issues re governance, culture and conduct risk.

  • Lloyds Banking Group
    • United Kingdom
    • Financial Services
    • 700 & Above Employee
    • Regulatory Lawyer (Secondee)
      • Mar 2016 - Feb 2017

      Worked with the business to implement a regulatory change program agreed with the FCA following a review of the bank's mortgage arrears & forbearance processes, including changes in relation to affordability assessments and processes for dealing with vulnerable customers.

  • Westpac
    • Australia
    • Banking
    • 700 & Above Employee
    • Regulatory Compliance (Secondee)
      • Aug 2014 - Jan 2015

      Secondment to the Compliance function for the retail banking network. I worked with the business to review the sales practices & advice provided in relation to certain insurance and wealth products, worked with legal in relation to breach reporting; and oversaw the implementation of new controls and training to strengthen compliance.

  • Allens
    • Australia
    • Law Practice
    • 700 & Above Employee
    • Associate
      • Feb 2011 - Jan 2015

      Junior lawyer in the Commercial Litigation & Investigations team. I worked on a range of disputes including regulatory investigations, commercial litigation and international commercial arbitration matters. Also completed a rotation in the Corporate/TMT team.

  • Supreme Court of New South Wales
    • Government Administration
    • 1 - 100 Employee
    • Associate to Justice Elizabeth Fullerton, NSW Supreme Court
      • Jan 2010 - Dec 2010

      Assisted her Honour with legal research, preparation of judgments and court duties, in cases before the Common Law division of the Court, including the NSW Court of Criminal Appeal.

  • Macquarie University
    • Australia
    • Higher Education
    • 700 & Above Employee
    • Research Assistant to Professor Bryan Horrigan, Associate Dean of Research
      • Nov 2007 - Dec 2009

      Responsible for all major research and editing of Professor Horrigan's 'Corporate Social Responsibility in the 21st Century: Debates, Models and Practices across Government, Law & Business' (Edward Elgar, 2010).

Education

  • Macquarie University
    Bachelor of Laws (Hons) & Bachelor of Arts
    2005 - 2009

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