Experience

ADM Investor Services International Limited

• United Kingdom
• Financial Services
• 100 - 200 Employee

• Compliance Officer

  • Aug 2013 - Present

  Compliance monitoring of trading and reporting of the business conducted by the Company. Producing and submitting monitoring reports. Ensuring that all business conducted is compliant with relevant Exchange Rules and Regulations. Reviewing and assisting in formal Exchange Investigations and disciplinary proceedings against rule breaches. Reviewing and formulating Suspicious Transaction Order Reports to the FCA following investigations. Attending industry events where appropriate. Compliance monitoring of trading and reporting of the business conducted by the Company. Producing and submitting monitoring reports. Ensuring that all business conducted is compliant with relevant Exchange Rules and Regulations. Reviewing and assisting in formal Exchange Investigations and disciplinary proceedings against rule breaches. Reviewing and formulating Suspicious Transaction Order Reports to the FCA following investigations. Attending industry events where appropriate.



Vantage Capital Markets LLP

• London, United Kingdom

• Compliance

  • Mar 2013 - Aug 2013

  Covering AML/KYC for regulated and unregulated clients, trade monitoring, review execution and AML policies against WMBA policies, market abuse checks, bribery and corruption and compliance monitoring. Attending industry events. Review and update complaince policies where appropriate. Covering AML/KYC for regulated and unregulated clients, trade monitoring, review execution and AML policies against WMBA policies, market abuse checks, bribery and corruption and compliance monitoring. Attending industry events. Review and update complaince policies where appropriate.



London Stock Exchange

• United Kingdom
• Financial Services
• 400 - 500 Employee

• Regulatory Disclosures Advisor Markets Division

  • Jun 2009 - Apr 2012

  Working within a regulatory/control environment to ensure compliance with domestic and international regulatory disclosure obligations including FSA, Panel on Takeovers and Mergers (PoTaM), Disclosure and Transparency Rules (DTR) and Listing Rules Liaising with key stakeholders regarding disclosure requirements on complex distributions into other jurisdictions including FSA, Takeover Panel (Rule 8, TR-1) and SECRegulatory reporting for price sensitive market disclosures, maintaining clear records of all filings and communicationsImplementing, reviewing and updating robust and adequate procedures to facilitate the timely reporting of security exposures to Regulators / Exchanges / PoTaM as required by LSE rules Compliant dissemination of regulatory news announcements on behalf of UK listed and Aim companiesPreventing potential errors of disclosures, providing remedial action to minimise risks to FSA / UKLA service criteria and reputation of the LSEBuilding relationships with AIM companies, member firms, financial institutions, investment trusts, regulators and government agencies, PR agents, advisers and plus-listed companiesFacilitating effective and sustainable relationships with FTSE100 clients, from initial account set up and registration through to client retention through excellent service and presentationsStatistical analysis of departmental activities for MI reporting purposes

• Regulatory Operations – Markets Division

  • Sep 2003 - Jun 2009

  Controlled and prioritised flow of price sensitive information from FTSE100 companies, assessing information for validation and security purposes and ensuring compliance with domestic and international regulatory disclosure obligations including FSA, Panel on Takeovers and Mergers (PoTaM), Disclosure and Transparency Rules (DTR) and Listing Rules criteria. Following the relevant checks, price sensitive information was disseminated to the markets.

• Team Leader - Markets Division

  • Jul 1998 - Sep 2003

  Managed the performance of five staff to verify and release announcements within target deadlines. Accountable for team recruitment, training, objective setting, workload planning, welfare, team meetings and appraisals.

• Regulatory Information Controller

  • Aug 1995 - Jul 1998

  Worked within the Information Division to allocate and prioritise live operations transactions / announcements. Checked and validated the authenticity of regulatory announcements with companies, PR agents and brokers prior to release. Deputised for the team manager in training and managing the performance of the team.

• Data Information Analyst

  • Jan 1995 - Aug 1995

  Managed disclosures in accordance with any embargo instructions, monitoring and logging any issues. Analysed the significance of company news announcements and liaised with Reuters and Bloomberg on formatting of announcements.