Member of the Association of Professional Compliance Consultants

EXPERIENCE

Tony is a risk management and compliance executive with 25 years' head of department experience in UK financial services. He has a successful record of controlling operational and regulatory risk and has overseen or project managed many significant developments.

He is a respected leader with strong creativity and problem solving skills covering governance, sales and support functions in wealth management, financial advice, discretionary portfolio management, fund management, private equity and retail banking.

Prior to forming his own consultancy business in 2013 Tony held a number of senior management appointments, including several carrying FSA CF10 & CF11 responsibility, together with registrations with the SEC, CBI, and Jersey and Guernsey regulators.

Qualifications

MBA Kingston on Thames University
FCMA Leeds Polytechnic
CertPFS Chartered Insurance Institute / PFS
PIIA Institute of Internal Auditors

Member of the Chartered Institute for Securities and Investments

Member of the Institute of Internal Auditors

Previous Achievements

Restructured, managed and developed compliance teams.
Introduced risk-based compliance processes.
Improved advisory, portfolio and funds management controls.
Project Manager for regulatory visits.
Revised ICAAPs for operational risks.
Member of change management teams for strategic business changes.
Ensured RDR compliant funds distribution.
Managed Takeover Panel application for exempt fund manager status in UK and France.
MLRO and manager for full client KYC/AML remediations.
Regular attendee at Board meetings.
Installed KPI, MI and other control reporting.
Assessed conduct of business risks.
Provided training for compliance updates/changes.
Improved relationships with the FSA/FCA
Built internal audit teams for full process reviews.
Established enterprise operational risk management framework to capture and mitigate all risks.
Automated all assurance reporting, including holistic high level heat maps to report residual risks.
Improved corporate governance and front and back office control environments.
PM for regulatory permissions and new funds.
PM for reviews of TCF, MiFID, RDR, CASS, Suitability.
Contributed to Treasury/FSA policy.
Member of the Regulations, Financial Crime and Operational Risk Committees/Working Groups at the IMA.
Designed client agreement and KYC documentation.
PM for outsourcing/acquisition due diligence.
Specified the compliance infrastructure for a very successful IFA start up for high net worth private clients.
Occasional speaker at various conferences.

TYPICAL PROJECTS (UPDATED SEPTEMBER 2017)

2015)

Recent FCA Focus

Financial Crime and AML
Wholesale Markets
Conduct Risk Management and TCF
Mis-selling
Advice and Suitability
Conflicts of Interest and Inducements
Market Abuse and MiFIR
Senior Managers Regime
Client Assets
Best Execution
Use of Dealing Commission
Outsourcing
Complaints Handling
ICAAP
Board Level MI
Remuneration Code and Incentives
Technological Developments
RDR

Other Directives & Regulation

MiFID II / MiFIR
MAR
EMIR
AIFMD
PRIIPS / KID
FATCA
UCITS
CRDIV&V
Fourth Money Laundering Directive

Tony’s Recent Projects

MiFID II
Organised Trading Facilities
Private Equity
AML for Trade Finance
Regulatory Risk Assessment
Compliance Training
EMIR
Client On-boarding
Client Assets
Transaction Reporting
Complaints Handling
Compliance Restructure
Conflicts of Interest
Outsourcing
AML Remediation
ICAAP Operational Risks
Monitoring Plans
Remuneration Code
UCITS IV
KIIDs
Fund Compliance and Risk Management Processes
Fund launches
RDR

COMPLIANCE

RISK

ASSURANCE

EXPERIENCE

TYPICAL PROJECTS (UPDATED SEPTEMBER 2017)

2015)