Experience

Third Financial

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Chief Risk Officer (CRO)

  • Sep 2021 - Present

  London, England, United Kingdom



Courtiers

• Spain
• Performing Arts
• 1 - 100 Employee

• Head of Compliance and Risk, Courtiers Asset Management

  • Apr 2017 - Sep 2021

  Henley on Thames Head of Compliance and Risk. SMF16 and SMF 17. Hired to fully improve and enhance the existing compliance function. Established a new compliance infrastructure including the effective implementation of a Compliance Monitoring Programme, Risk Management Process and robust systems and controls. Responsible for all areas of regulatory and operational risk oversight including both internal and outsourced services and chairing monthly service review meetings. Day to day management of a team of 3… Show more Head of Compliance and Risk. SMF16 and SMF 17. Hired to fully improve and enhance the existing compliance function. Established a new compliance infrastructure including the effective implementation of a Compliance Monitoring Programme, Risk Management Process and robust systems and controls. Responsible for all areas of regulatory and operational risk oversight including both internal and outsourced services and chairing monthly service review meetings. Day to day management of a team of 3. Chairman of the Investment Risk Oversight Committee responsible for ensuring the implementation and monitoring of risk management of all investment funds managed by Courtiers. Member of the Senior Management Committee and participant in Board meetings ensuring the implementation of oversight and apportionment requirements. Show less



HEXAM Capital Partners

• United Kingdom

• Partner

  • Oct 2006 - Sep 2016

  London, United Kingdom Co-founding partner of HEXAM, an Emerging Markets Equity investment boutique with assets under management peaking at almost USD 2.0 billion. Initially launched as a joint venture the founding partners took control in 2010 to establish a fully independent investment firm. We created our own complete efficient front to back investment operating model incorporating front end investment management, middle and back office services and compliance infrastructure which attained ISAE3402… Show more Co-founding partner of HEXAM, an Emerging Markets Equity investment boutique with assets under management peaking at almost USD 2.0 billion. Initially launched as a joint venture the founding partners took control in 2010 to establish a fully independent investment firm. We created our own complete efficient front to back investment operating model incorporating front end investment management, middle and back office services and compliance infrastructure which attained ISAE3402 Assurance Standard. As Compliance Officer established HEXAM’s compliance and operational risk oversight function gaining significant experience of FCA regulations and requirements. Designed, established and maintained a full library of compliance policies and procedures, Compliance Monitoring Programme, firm and individual fund risk matrices, management information requirements and ICAAP adopting industry best standards. Provided oversight and cover for internal operational function and exercised governance over outsource providers. Investment manager responsible for stock selection and asset allocation in Global Emerging Markets equities using a rigorous and robust investment process. Specific roles included; Partner, Member of Executive and Management Boards, Compliance Officer, Money Laundering Reporting Officer, Investment Manager. Show less



Barings

• United States
• Financial Services
• 700 & Above Employee

• Director, Emerging Markets Equity

  • Mar 1992 - Oct 2006

  London, United Kingdom Joined Barings in 1992 gaining a wealth of experience in a variety of back and middle office functions including portfolio reconciliations, valuations and performance measurement. Transferred to Portfolio Control where implemented investment allocation decisions across multiple global portfolios and ensured adherence to investment strategy and mandate requirements. In 1996 joined the Global Emerging Markets investment team specialising in the analysis of Emerging European countries and… Show more Joined Barings in 1992 gaining a wealth of experience in a variety of back and middle office functions including portfolio reconciliations, valuations and performance measurement. Transferred to Portfolio Control where implemented investment allocation decisions across multiple global portfolios and ensured adherence to investment strategy and mandate requirements. In 1996 joined the Global Emerging Markets investment team specialising in the analysis of Emerging European countries and companies using a rigorous and robust investment process. Lead manager of Baring Emerging Europe Trust and Eastern European segregated mandates. Member of the Global Banking Sector team. 2005 winner of Bloomberg Money Global Investment Trust. Show less