Stephen Morse

International compliance and governance executive with more than 25 years' experience leading regulatory transformation, enterprise risk oversight and global control infrastructures across Tier 1 financial institutions and regulated fintech businesses. Proven track record of building and leading high-performing global compliance organisations across North America, Europe and Asia-Pacific, with direct accountability for enterprise regulatory strategy, board governance, regulatory engagement and operational risk oversight. Recognised for successfully scaling global control infrastructures during periods of significant institutional growth, managing complex regulatory relationships across multiple jurisdictions, and advising boards and executive leadership teams on governance, strategic risk and regulatory change.

Extensive experience working with major international regulators including the FCA, SEC, CFTC, FINRA, Federal Reserve, MAS, HKMA and JFSA.

Board Advisor & Head of Compliance / MLRO - MINTUS TRADING LIMITED - London

(2021-01)

Board advisor and senior compliance executive for a regulated alternative investment platform specialising in alternative and fractional investment products. Working closely with the Board, CEO and COO on strategic growth initiatives, regulatory positioning and enhancement of the firm's FCA authorisation framework. Designed and implemented the company's compliance, AML, financial crime and operational risk infrastructure to support business scaling and regulatory readiness.

Non-Executive Director - STREAM FINANCIAL LIMITED - London

(2020-01)

Non-Executive Director for a fintech and data management business focused on innovative financial technology solutions. Advising executive management and the Board on strategic development, governance, operational oversight and commercial positioning within the fintech sector.

Board Advisor & Board Director - EU PAY LTD / EU PAY IRELAND - London

(2018-01 - 2021-12)

Provided board-level advisory support to regulated payments and AML technology businesses, focusing on governance, compliance, operational risk and strategic development. Worked closely with executive leadership on business expansion, regulatory positioning and product strategy, while overseeing operational and commercial initiatives across the AML monitoring software business.

Founding Partner - MELITE GLOBAL LTD - London, New York, Miami & Toronto

(2015-01 - 2018-12)

Co-founded an international advisory and consulting firm providing strategic regulatory, compliance and operational transformation services to global financial institutions including HSBC, Macquarie Bank, TD Bank Group, Bloomberg and Panmure Gordon.

Senior Vice President & Chief Compliance Officer - TD BANK GROUP - Toronto

(2011-01 - 2013-12)

Appointed to lead the transformation and strengthening of TD Bank Group's global Compliance and Privacy functions following a period of significant institutional growth and increasing regulatory complexity. Led the reorganisation of the global compliance infrastructure across Canada, the United States, Europe and Asia, overseeing approximately 550 compliance professionals internationally. Delivered enterprise-wide governance, risk assessment and regulatory impact frameworks while resolving major regulatory and audit findings and driving significant operational efficiencies.

Managing Director & Global Head of Compliance, Operational Risk & Information Risk - BARCLAYS CAPITAL - London & New York

(2002-01 - 2011-12)

Joined Barclays Capital with a mandate to build and globalise a best-in-class compliance infrastructure during a period of substantial international growth and business expansion. Scaled the global compliance organisation from 52 professionals to approximately 550 staff across 67 international locations and led major regulatory, operational risk and governance transformation initiatives across the firm.

Director & Global Compliance Practice Group Leader - CREDIT SUISSE FIRST BOSTON - Hong Kong & New York

(1997-01 - 2002-12)

Led strategic oversight and coordination of the firm's global compliance programme across all operating entities and business divisions, including implementation of global compliance frameworks, risk assessment methodologies and enterprise control enhancement initiatives.

Vice President & Regional Compliance Officer - Bankers Trust Company

Compliance Officer - JP Morgan & Co

Compliance Officer / Senior Examiner - Lehman Brothers

Trainee Accountant - Ernst & Whinney

LLB (Hons) - Law - University of Leicester