Wickham Bishops, Essex, United Kingdom
Regulatory Consultant
Investment Banking
Education
King's College, Cambridge University 1983 — 1986
BA, MA, Law, 2:II
Experience
Benchmark Compliance Ltd July 2004 - Present
Bear, Stearns International Limited April 1998 - July 2004
Prudential-Bache International August 1995 - March 1998
Goldman Sachs International Limited October 1991 - July 1995
Skills
Corporate Finance, CF10, RDR, Policies and Procedures, Dodd Frank, Credit Markets, Equities, Suitability, Collective Investment..., Interim Management, Contractor, Authorisations, Retail, Training, Compliance, Primary Markets, Impact Assessments, Offer Documents, Thematic Review, Trading Floor Compliance, Change Management, Desk Reviews, Regulatory Affairs, Operational Risk..., Investigation, AML Remediation, Consultant, Transactional Advice, Asset Management, Governance, FATCA, CASS, Project Management, CF11, Interim, Financial Promotions, TCF, Outsourcing, Skilled Persons Review, Risk Mitigation, Legally qualified, Monitoring, MLRO, Non Executive Director, ARROW, Quality Assurance, Strategic Review, MiFID II, Senior Manager Regime, Investment Banking