SMF16/17 Compliance Officer and MLRO – UK Chief Compliance Officer – U.S (SEC Registered) at Veritas Asset Management LLP (2013-01 – 2025-06)
- Oversaw all UK (FCA) and U.S (SEC and 1940 Act funds) compliance advisory and monitoring activities, including AML/MLRO responsibilities, executing the UK and U.S Compliance Monitoring Programme within the Risk Management Framework.
- Managed and submitted all FCA, SEC/NFA/CTFC, Canadian, and South African regulatory filings, including U.S SEC Form ADV filings.
- Conducted regulatory horizon scanning and implemented new regulations.
- Engineered investment guidelines compliance monitoring via Bloomberg AIM, creating rules in CMGR and managing live alerts in VMGR, alongside end-of-day breach reporting for both passive and active positions.
- Monitored thresholds across global shareholdings, including the UK, U.S., Australia, Spain, France, Luxembourg, and Sweden, and completed filings and reports to exchanges and regulators.
- Participated in Management and Operating Committee meetings, contributing to board reports and updates.
SENIOR COMPLIANCE MANAGER and MLRO (CF11) at AXA INVESTMENT MANAGERS UK LTD (2006-08 – 2012-12)
- Directed compliance advisory and monitoring operations.
- Served as MLRO for AXA Investment Managers UK Ltd, AXA Investment Managers GS Ltd, and AXA Rosenberg Investment Management Ltd.
- Acted as dedicated Compliance Officer for Funds of Hedge Funds expertise, dual reporting to the UK Head of Compliance and Global Head of Compliance. Collaborated with the Global Head on transverse Global Compliance projects, standards, and policies.
- Facilitated Management and Board reporting (Audit Committee, AML AXA IM Group reporting) while maintaining awareness of and reporting on regulatory developments. Managed all AML/KYC matters as the primary contact in the UK.
- Supported the Global Head of Compliance on various global AML initiatives.
- Provided advisory compliance expertise across Fixed Income and Multi-manager facets, encompassing marketing, operational, and trading compliance matters. Initiated and led monthly Fixed Income and Multi-manager Forums to harmonise functions such as Compliance, Investment, Operational Risk, Performance, Client Reporting, and Operations in problem-solving relevant business challenges.
- Promoted compliance as a facilitator within the business, fostering proactive relationships with business units to ensure compliance input from the outset.
COMPLIANCE MANAGER at ABN AMRO ASSET MANAGEMENT LIMITED (2005-03 – 2006-07)
- Managed the compliance monitoring function for the London office, leading a team of two direct reports.
- Revamped and developed a risk-based FSA compliance monitoring programme, implementing a systematic testing programme for Dealing.
- Provided advisory input on compliance matters affecting the London office, including training and competence frameworks as well as the Code of Ethics.
- Collaborated with the Legal team and Client Take-On function to interpret IMA investment guidelines and address compliance-related matters.
- Reviewed all marketing materials to ensure compliance approval and analysed breaches and complaints, including conducting trend analyses.
- Engaged closely with Portfolio Management, Marketing, Investment Operations, Portfolio Risk, Performance Measurement, and I.T functions to ensure cohesive compliance interactions.
- Conducted extensive liaison with internal and external audit teams during visits, ensuring adherence to compliance protocols.
- Demonstrated profound knowledge of fixed income and derivatives, comprehending all related issues, including UCITS III.
- Delivered management reports to Senior Management and provided compliance training to the business.
COMPLIANCE OFFICER (CF10) at WESTERN ASSET MANAGEMENT COMPANY LTD (2003-01 – 2005-03)
- Fulfilled the CF 10 function alongside the role of Company Secretary, ensuring all regulatory requirements were met.
- Provided advisory input on all regulatory matters impacting the London office, collaborating with both internal and external counsel.
- Reviewed all investment management agreements, interpreted client mandate guidelines, and consulted on training and competence matters, including registration and approval alongside Code of Ethics assessments. Reviewed marketing materials and institutional pitchbook presentations for compliance.
- Designed and implemented a new FSA risk-based compliance monitoring programme, enhancing compliance oversight.
- Engaged in a comprehensive FSA arrow visit (June 2003) and participated in internal and external audit reviews, liaising directly with clients to discuss compliance issues and deliver presentations on the Charles River Development System.
- Maintained a hands-on role with robust involvement with various business areas, including Portfolio Management, Marketing, Investment Support, Human Resources, and Finance.
- Possessed extensive knowledge of fixed income and derivatives, covering issues related to Dublin UCITS, and managed the Charles River Compliance Database for guideline breach alerts and reporting.
- Participated in Lloyds' insurance regulations and maintained a deep understanding of the entire FSA Handbook.
COMPLIANCE ANALYST at M&G INVESTMENT MANAGEMENT LTD (2000-10 – 2002-12)
PORTFOLIO CONTROL ASSISTANT at CAPITAL INTERNATIONAL LTD (1998-07 – 2000-10)
SALES ASSISTANT at NIKKO EUROPE PLC (1997-04 – 1998-04)
EMERGING MARKETS DESK ASSISTANT at BARCLAYS GLOBAL INVESTORS (1996-03 – 1997-04)
GRADUATE TRAINEE SCHEME at TULLETT & TOKYO FOREX INTERNATIONAL (1994-11 – 1995-08)
