If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.
00200243
PROFILE:
A highly knowledgeable compliance expert with extensive experience of enabling organisations to fulfil their regulatory requirements, legal obligations and governance commitments. A trusted advisor with expertise in creating, managing and revising compliance frameworks, policies and procedures.
Extensive knowledge and experience gained in UK and EU regulatory framework namely SMCR, GDPR, authorisations and registrations, payments and fintech, amongst others. Ability to process and perform second line oversight reviews in line with the compliance monitoring plan. Additional experience in delivering training and guidance on regulations to a variety of audiences including new starters and SMEs.
SKILLS:
- Engaging and influencing key stakeholders
- Shaping policy
- Project management
- Translating regulatory requirements into actionable procedures
TECHNICAL:
- MS Office: Word, Excel, PowerPoint, Photoshop; Internet Explorer; Outlook; Mac proficient
CAREER HISTORY:
June 2025 – Present: Searching for new role – very tough market at the moment
January 2025 – May 2025
Financial Services
Regulatory Policy Manager
Conducted horizon scanning from PRA and FCA publications to forecast new regulatory requirements and expectations. Project managed the implementation of Basel 3.1 highlighting risks to lines of business. Provided advice on CRR and the relevant requirements for the bank.
January 2023 – December 2024: Career Break
Since accepting voluntary redundancy in December 2022, I took a career break.
March 2021 – December 2022
Investment Banking
Policy Coordinator in the EMEA Compliance - Associate
Member of the Policies and Standards and Office of Legal Obligations team. Manage over 200 policies, procedures and standards and work with SMEs on updating these when a new US and EMEA regulation comes in on a global level, e.g. SMCR, MIFID, Consumer Duty.
- Led on a major update of guidelines on an EMEA level taking instruction from colleagues in the US
- Worked with SMEs and central compliance colleagues to ensure that local requirements were met to avoid potential breaches
March 2020 – February 2021: Searching for next role. Beginning of covid pandemic
December 2019 – February 2020
Financial Services
Regulatory Consultant
Project manager and creator of a regulatory compliance framework for financial crime policies and procedures focusing on anti-money laundering in a global intelligence and cyber security company.
April 2019 – December 2019: Searching for next position
November 2018 – March 2019
Financial Services
Regulatory Consultant
EMEA Central Compliance Transformation programme and Learning and Development.
- Led the streamlining and reduction of US and UK policies and procedures from 120 to 55, based on initial gap analysis. This was part of high profile and a large-scale transformation programme that was part of a consent order.
- Engaged with horizon scanning team to ensure that rules and regulations, for example development of SMCR and GDPR were communicated to advisory in Markets, Private Side and
- Drafted and implemented a new governance policy framework across all compliance teams. This involved influencing senior management and working closely with international policy teams
- Revised and communicated new policies and procedures to targeted audiences, highlighting relevant training
June 2016 – October 2018
Banking
Policy Implementation Team (PIT) – Associate
Ensured that policy owners and supervisors across the bank and the PRA produced policies, relevant policy statements and rules in response to the EU regulatory framework and adhering to FSMA.
- Governors’ Award 2017/18. Received the Governors’ Award from Supervisory Statement SS(1/18): PRA’s Approach to Bank Authorisation and Supervision
- Worked closely with Legal Counsel to ensure that legal obligations set out in the Financial Services and Markets Act 2010 (FSMA) were met by policy authors
- Created and delivered training on the policy lifecycle and drafted and implemented policies on a range of areas, including SMCR and issues relating to Brexit
Remuneration and Governance Team:
- Policy coordinator and adviser on SMCR. Responsible for policy making and evaluation
- Provided analysis of regulatory change in relation to CRD IV and implemented regulatory requirements from the European Commission (EC) by working alongside the European Banking Authority (EBA)
- Worked with supervision to ensure that Tier 1 banks met the standards set by the PRA’s Remuneration Code
- Represented the PRA at external meetings with the FCA, Tier 1 banks and at the EBA in relation to remuneration and governance matters
- Worked closely with supervision to identify key risk areas and any potential breaches, for example, in relation to capital requirements
March 2015 – March 2016
Government Sector
Policy Adviser
Joined on a secondment from the SFO to predominantly work on government policies on tackling corruption, which led towards the Anti-Corruption Summit in May 2016. Role involved influencing senior Cabinet Office staff and politicians to agree on a number of action plans on transparency and disclosure.
December 2013 – March 2015
Government Sector
Higher Executive Officer
Key member of a Legal team in the Fraud Section. Reviewed material and prepared legal analysis of relevant content for evidential purposes for LIBOR and Foreign Exchange cases.
- Assisted lawyers in fully complying with the SFO’s disclosure obligations according to the Attorney General guidelines
EDUCATION:
2011-2012: BPP Law School
Graduate Diploma in Law
2007-2008: Institute of Art
MA in Art History
2002-2006: University
MA in History of Art – 2:1
References Available Upon Request
If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.
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