Compliance Forum Committee

Transcription

1 Compliance Forum Committee The Compliance Forum is the Institute's largest and it meets six times a year to discuss current issues. The Compliance Forum aim is to provide lively interaction at presentations and discussion on hot topics related to compliance in financial services. The forum responds to consultation papers and meets biannually with the FCA Practitioner Panel to share the forum's view on recent financial compliance developments Chairman: David Moland, Chartered FCSI, Group Head of Compliance & Chief Risk Officer, Arbuthnot Latham David Moland joined the Arbuthnot Banking Group in 2006, as Head of Compliance of Arbuthnot Latham & Co. In 2009 he took on the additional responsibility of Group Head of Compliance with oversight responsibility for the other regulated entities within the Group. Additionally, he is the Group Money Laundering Reporting Officer. At the start of 2013 he also added Chief Risk Officer to his responsibilities. David s role covers a wide range of regulated activities including Banking, Investment Management, Wealth Planning, Mortgage lending and consumer lending. His previous experience in Compliance related roles, were at Credit Suisse (2 years), the Financial Services Authority (3 years) and Lloyds TSB (1 year). His earlier career (16 years) was primarily spent in customer facing roles at Lloyds TSB dealing with retail and business clients. He believes this mix of experience has enabled him to adopt a pragmatic approach to his current role. He is a Chartered FCSI and an ACIB. He has been a regular attendee at the CISI Compliance Forum and he has just started his second spell on the forum committee, having been a committee member from March 2008 to March 2014, which included being one of the Deputy Chairs from 2009 to He is also a member of the BBA Money Laundering Advisory Panel and BBA Small Banks Advisory Panel.

2 Deputy Chairman: Elizabeth Hornby MCSI Senior Associate, Eukleia Training Elizabeth qualified as a barrister with a masters degree in criminology. She started her career in the city at the London Stock Exchange moving into compliance in the late 1980s at Nomura followed by Goldman Sachs. Elizabeth then worked as a compliance consultant for 15 years before joining Eukleia Training Limited. Elizabeth currently specialises in senior management, ethics and conduct of business training and is studying for a masters degree at Birkbeck in International Business Ethics and Corporate Governance. Deputy Chairman: Simone Porter, Chartered MCSI, Managing Director, International Compliance, Charles Schwab UK Simone has worked in the financial services industry for most of her career; starting in lending and most recently in stockbroking. Simone has been a compliance practitioner since Simone currently holds responsibility at Schwab for providing compliance support for non-us client business (International). Simone is a law graduate and holds FCA controlled functions CF10 and CF11 for the Charles Schwab UK entity. Simone has been a CISI member since 2004 and gained the Diploma in Investment Compliance in Nigel Avey, Chartered MCSI Head of Compliance, Vantage Capital Markets Nigel Avey is currently a member of the Board of Vantage Capital Markets LLP and Head of Compliance. Nigel has been a regulatory practitioner for over 25 years in the City and he has held a number of senior regulatory and legal positions in financial services companies, including Gerrard and National, Old Mutual and Man Group.

3 John Bridges, MCSI Perth Partners John has had a long and distinguished career within the City having started with Barclays Bank in In 1962 he moved into stockbroking where he acted for institutional clients at a senior level, rising to Partner, until In that year he was asked to re-finance a company importing personal computers and following this exciting project he moved into the world of corporate finance. Since 1980 he has worked as a director and sometime CEO within the corporate finance industry evaluating, finance raising and floating a large number of companies. John also served as a director and board member of some of these companies. Over his 30 years working in corporate finance he has gained experience in all market industry sectors, and he is a specialist in small to medium sized companies. During 2011 John was a Senior Adviser to the Financial Services Authority. He has also been a committee member of the Corporate Finance Forum of the Chartered Institute of Securities and Investment, and currently sits as a member of the Compliance Forum. As John enters his eighth decade his enthusiasm and energy keep him finding that opportunities abound and that his experience remains in demand to help companies and their management seize those opportunities. Peter Brown, Chartered FCSI Training Consultant, CCL City Training Peter joined CCL in 2007, primarily as a specialist trainer in Anti-Money laundering (AML) compliance. Peter is a Fellow of the Association of Chartered Certified Accountants, a Fellow of the Chartered Institute of Bankers, and a Chartered Fellow of the CISI. Peter s earlier City of London based career was in banking and later focussed on internal audit and compliance disciplines covering domestic, international and wholesale banking, as well as later working with two major investment management companies. A move into consultancy work with a specialist AML consultancy firm meant that this broad hands on experience then provided a good base for serving clients through reviews of anti-money laundering policies and procedures, CDD due diligence audits and assistance in undertaking retrospective reviews to update CDD to contemporary standards. For several years, Peter was the voice of the JMLSG helpdesk; he has also been MLRO in two investment management companies and for the London office of a Middle Eastern bank.

4 As well as working in and with banks and investment management companies, Peter has gained broader knowledge and experience whilst undertaking AML work with finance and leasing companies, mortgage lenders, stockbrokers, accountants and lawyers. Lecturing and training commitments have taken him across mainland Britain as well as into the Channel Islands and Isle of Man, and have included work undertaken for ACCA and the Chartered Institute for Securities & Investment. Peter s involvement with CISI Professional Forums goes back many years. Until time barred, he was a member of the Risk Forum committee, going back into its days of the Internal Audit Forum. Now he is a member of the Compliance Forum committee. Peter s firm also has significant involvement in preparing and delivering CISI training courses and is a CISI accredited training firm. Charles Jackson, Chartered FCSI Director, Court Management Associates Charles is an experienced compliance professional with a breadth of expertise across Governance and Risk matters across multiple business models. He has worked for a range of regulated firms since arriving 1990 at FTSE 100 firm, working across asset management, banking, life, market infrastructure and wealth management sectors. He undertakes a range of advisory, assurance or seeking approvals (for regulated/prospective firms) for retail and wholesale activities. He has undertaken Skilled Person (s166) reviews, precursors to enforcement investigations/actions and helped mitigate/navigate regulatory scrutiny. He has reviewed the robustness, adequacy and effectiveness of oversight arrangements (GRC and Internal Audit). He has obtained regulatory authorisations; managed regulatory visits; and high impact regulatory liaison, including lobbying on change matters and participating in engagement with an EU College of Regulated Supervisors. Charles had held senior full-time/interim roles. He was authorised as an Approved Person (Senior Management and Oversight Functions: CF4, 10 and 11) and as a Key Individual. He is a company director and an NED. He is a Director, Head of Risk and Regulation for the GRC Risk practice, Court Management Associates, a family owned accountancy and legal practice. Charles studied and worked within the compliance from the foundation of UK financial services regulation. His experience dates back to the original Financial Services Act 1986 and its regulatory structures. After completing a Financial Services degree, he obtained (the then SI) Diploma in Regulation & Compliance. He was one of the first individually granted Chartered Fellowship of the CISI. He completed ACII & ACIB examinations. He is also a Fellow of the ifs School of Finance, a Freeman of the Worshipful Company of International Bankers, and a Freeman of the City of London.

5 Charles has been an active member of the Compliance Forum since being a student member, a committee member for a decade and was Deputy Chairman until May He has been actively involved with the production of Compliance programme and the engagement with regulators. He shared the impact of regulatory change, produced or refreshed Professional Refresher and presented CPD workshops for the Compliance Professional Forum. He has designed and presented a Conduct Risk Training course for Risk Magazine (Oct 2014) and presented at the CASS Business School on an Advanced Global Risk Management course (2014). Peter Mulcahy, Chartered MCSI Compliance Advisory Officer, ICAP Management Services Peter is a long standing member of the CISI, and sits on the Compliance Forum Committee and the European Regulation Interest Group Committee. He holds the CISI Certificate in Securities and Derivatives, and the Diploma in Investment Compliance. Peter is currently a Compliance Advisory Officer at ICAP Management Services Limited. Peter has over ten years experience in the financial services industry. Prior to joining ICAP he worked at Vantage and also the London Stock Exchange in AIM Regulation and the Regulatory News Service. Prior to that he worked at PLUS Markets in various roles. Elizabeth Nelson, Chartered MCSI Compliance Oversight Manager, Société Générale Securities Services After studying at Nottingham and Cambridge Universities, Elizabeth qualified as a barrister with a masters degree in Criminology. She started her career in the City at the London Stock Exchange moving into Compliance in the late 1980s at Nomura, followed by Goldman Sachs. Elizabeth then worked as a Compliance consultant for 15 years before joining Eukleia Training Limited. Elizabeth currently specialises in senior management, corporate governance, ethics and conduct training. She recently completed a master s degree in Corporate Governance and Business Ethics at the University of London and is currently studying for a PhD.

6 Natalia North, Chartered FCSI Compliance Officer, Makor Securities Natalia is an active supporter of the Compliance Forum since She has more than 20 years experience in financial services across a wide variety of sectors. Natalia was Head of Private Client Compliance at Libertas Capital Corporate Finance Limited (CF10), EGR Broking Limited. Currently Natalia is Compliance Officer and MRLO (CF10&CF11) at Makor Securities LLP- agency broker. Natalia attained CISI Diploma in Investment Compliance in 2005, holds the CISI Certificate in Derivatives and OAQ. Natalia was honoured to become Chartered Fellow from October Paul Whittaker, Chartered MCSI Magic Bullet Associates Paul is a qualified solicitor and has spent 18 years in compliance, most recently as Global Head of Compliance and Risk Training for HSBC Global Private Bank. He was previously Head of Compliance (CF10 & CF11) for Hoodless Brennan & Partners stockbrokers. His career began as a compliance officer at Personal Investment Authority (FSA s granddaddy). As a member of the JMLSG editorial panel Paul helped write the Money Laundering Steering Group guidance notes and Part II guidance.

7 Tina Winder, Chartered MCSI Manager, Investment Compliance, Towry Investment Management Tina started her compliance career in 1997, having previously been a Chartered Secretary. As a result, she has extensive corporate governance experience and has experienced three regulatory regimes (IMRO, FSA & FCA) for a variety of organisations, such as Bank of England, Lehman Bros, Capita, BDO Investment Management and RSM Tenon/Baker Tilly Investment Management. She has held the CF10 & CF11 functions and hence worked closely with the regulator in the past. Currently Head of Investment Compliance at Towry, her current focus is on retail wealth management and operation of funds. Interested in joining our committee or event mailing list? us: pf@cisi.org