If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.

00356634

PROFILE:

Experienced compliance leader with over 9 years of expertise in building and managing compliance, risk, and governance frameworks for regulated firms in the UK, EU, and Channel Islands. Skilled in regulatory engagement, policy development, and strategic risk management. Self-motivated and committed to safeguarding the integrity of the compliance function. Recognised for resilience, pragmatism, precision, and delivering stability in dynamic environments. Available to start from 1 January 2026.

SKILLS:

• Regulatory Compliance and Client Onboarding (UK, Jersey, Malta)
• Governance and Board Advisory
• Risk Management and ICARA
• AML / Sanctions / Financial Crime Prevention
• Senior Managers & Certification Regime (SMCR)
• Policy Development & Monitoring
• Horizon Scanning and Regulatory Change Management
• Leadership and Team Development

ACHIEVEMENTS:

• Regulatory Licensing Success: secured regulatory authorisations, enabling business expansion.
• Governance Transformation: designed and implemented governance frameworks and board evaluation processes.
• Compliance Infrastructure: built complete compliance frameworks including manuals, risk assessments, registers and monitoring programmes for newly regulated UK firm and ensuring full FCA compliance.
• AML Leadership: passing all external audits without findings in the UK; and leading multiple regulatory audits in Jersey and Malta while directing AML programmes for high-risk clients, PEPs and sanctioned clients.
• Cross-Border Integration: harmonised compliance processes across three jurisdictions, reducing operational risk incidents and improving efficiency.
• Crisis Management: investigated and resolved regulatory breaches and suspicious activity reports promptly, avoiding enforcement actions and reputational damage.
• Training & Culture: delivered compliance training to staff members and increasing compliance awareness.

CAREER HISTORY:

April 2022 – December 2025

Asset manager (London)

Head of Compliance & MLRO (SMF 16 & SMF 17)

Reason for leaving: Company closure

• Applied FCA Handbook to firm`s investment advisory and portfolio management activities
• Led regulatory license applications and managed outsourcing arrangements
• Designed and implemented compliance policies and procedures, risk registers, ICARA, remuneration policies, monitoring programmes, regulatory reporting, business continuity planning, and board reporting
• Implemented SMCR including applications, fitness and propriety assessments, conduct rule compliance, affirmations, prescribed responsibilities and statements of responsibility
• Oversaw client onboarding, CDD, suitability assessments, client categorisations, conflicts of interest, complaints, customer risk assessments, CASS mandates, and financial promotions
• Investigated suspicious activities, whistle-blowing reports, regulatory breaches, data breaches and liaising with external authorities
• Delivered staff training and horizon scanning for regulatory changes

December 2016 – December 2021

Wealth management/ Family office (Jersey & Malta)

Head of Compliance & MLRO & Company Director

Reason for leaving: Resignation and relocation

• Directed compliance across multiple jurisdictions and regulated entities (fund services, trust services, company services, and pension administration)
• Developed harmonised compliance framework and risk-based client onboarding processes
• Managed suspicious activity reporting, sanctions monitoring and GDPR compliance
• Led corporate governance matters including prepare and circulate board agendas, chair meetings, draft minutes, track actions; manage incorporation of new structures and organisational changes; maintain statutory records; and completion of company filings
• Built and managed multi-jurisdictional compliance teams and stakeholder relationships

2007-2016

Law and Policy Thinktank, South Africa

Researcher

2011-2016

District Council, South Africa

Councillor

QUALIFICATIONS:

2021

ICSA (UK)

Chartered Governance Qualifying Programme

2018

ICA (UK)

International Diploma in Governance, Risk & Compliance

2016

ACAMS (USA)

CAMS Certified Money Laundering Specialist

2005 (UK Master’s equivalent): Stellenbosch University

LLM International Trade Law

2004

Stellenbosch University (South Africa)

LLB

Additional certifications in Trust Law, Banking Risk, and Import/Export Management

PROFESSIONAL MEMBERSHIPS:

• International Compliance Association (ICA)
• The Chartered Governance Institute UK & Ireland

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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