Rodney Morgan MCSI GradDipAppFin
London, Greater London, United Kingdom
Compliance Officer BCS Prime Brokerage Limited
Financial Services
Education
Chartered Institute for Securities & Investment (CISI) 2013 — 2013
Bachelor's Degree, CISI Diploma in Investment Compliance
Kaplan University 2008 — 2011
PostGradDip of Applied Finance, Finance, General
FINSIA – Financial Services Institute of Australasia 2005 — 2006
Bachelor's Degree, Diploma Of Financial Markets
Experience
BCS Prime Brokerage Limited March 2013 - Present
SEI September 2012 - February 2013
Aritas Financial August 2011 - May 2012
Citi July 2007 - April 2011
Skills
FINMAR, Vendor Management, Asset Management, Derivatives, MiFID, Operational Risk, Compliance Regulations, Real Time Monitoring, Financial Regulation, Vendor Contracts, EMIR, Market Abuse, Process - Creation,..., Market Monitoring, Dodd-Frank, Hedge Funds, Sell Side, Investment Banking, Regulatory Filings, CFTC, PRIN, Procedure - Creation,..., Post Market Surveillance, Securities, Vendor Relationships, Capital Markets, Buy Side, SYSC, MiFIR, Training and Competence, Financial Markets, Regulatory Requirements, Enhanced Due Diligence, AML, MiFID Reporting, Compliance Monitoring, Increasing Operational..., MiFIDII, Project Management, Project Delivery, Market Data, Fixed Income, MAR, Equities, Operational Requirements, Electronic Trading, EMIR Reporting, Internal & External..., Trading Systems, KYC