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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PROFILE:

Executive director with 17+ years’ experience across investment management, regulatory compliance, and trading within FCA-regulated environments. Proven track record in designing and implementing regulatory frameworks, leading SMF functions, and embedding robust compliance cultures across multi-asset businesses. Deep expertise in FCA regulation, ICARA, NMPI frameworks, AML/CTF, and investment products, underpinned by commercial insight gained from front-office leadership roles.

SKILLS:

Regulatory Compliance | Governance & Risk | AML/KYC | Risk Management | Strategic Leadership | Process Optimisation Derivatives | Securities | Multi-Asset Investment Management | Fund Management | Investment Product Design

CAREER HISTORY:

September 2019 – January 2026

Investment management advisory

Executive Director (SMF 3)

• Led the firm’s regulatory strategy and governance framework, overseeing FCA applications, regulatory reporting, RegData submissions, Compliance Monitoring Plans, Business-Wide Risk Assessment (BWRA) and ICARA. Managed multi-asset compliance across multiple investor types and delivered internal and external policy frameworks, training programs, and supervisory procedures as part of the firm’s digital and operational transformation.

July 2023 – January 2026

Investment management advisory

Compliance Officer (SMF16) & MLRO (SMF17)

• Held primary responsibility for regulatory engagement with the FCA on compliance and financial crime. Designed and maintained the AML/CTF and sanctions framework, conducted risk assessments, and oversaw KYC, EDD, and transaction monitoring. Led the implementation of appropriateness and suitability assessments and worked across the firm to embed effective compliance and financial crime controls in line with SYSC and the Money Laundering Regulations 2017.

September 2024 – December 2025

Investment Manager

Executive Board Director

• Held responsibility for the management of a Collective Investment Scheme operated by an FSC-regulated CIS Manager in Mauritius, overseeing governance, operations, and regulatory compliance. Led the fund’s UK registration as a Non- Mainstream Pooled Investment (NMPI) with the FCA, ensuring adherence to COBS disclosure standards, investor (HNW, professional, sophisticated) classification rules, and cross-border financial promotion restrictions.

July 2025 – August 2025

Commodities investment

Executive Board Director

• Engaged on a contract basis with the firm. A London Stock Exchange (LSE) Main Market–listed company, designing and implementing the Bitcoin treasury management framework, investment strategy, and financial control environment.

2015 - 2019

Knightsbridge Trading Academy

Executive Director

• I monitored budgets, cash flow, and financial statements to optimise profitability, while also identifying business growth opportunities and driving client acquisition strategies. Additionally, I leveraged automation tools to improve operational efficiency.

EARLIER CAREER:

2008-2015

FCA-Regulated FX & CFD Firms

• Held senior sales and leadership roles within FCA-regulated FX and CFD firms, including ODL Securities (now FXCM), Infinox Capital, and YouTrade Capital Markets. Progressed from retail sales to senior and head-of-sales positions, leading international teams and driving revenue growth within highly regulated environments. Responsibilities included client onboarding, sales strategy, platform demonstrations, relationship management, and ensuring adherence to FCA conduct, financial promotion, and client categorisation requirements.

2002 - 2006

British Army

Infantry Soldier

• Gained leadership experience through operational deployments to Iraq and Northern Ireland.

EDUCATION:

2019 – 2021: Bayes Business School (formerly CASS Business School)

Executive MBA, Business, Finance, Management

QUALIFICATIONS AND CERTIFICATIONS:

Diplomas & Certifications

The Chartered Institute for Securities & Investment (CISI)

• Investment Advice Diploma
• Certificate in Investment Operations
• Certificate in Global Financial Compliance
• Certificate in Combatting Financial Crime
• Client Money and Assets Certification
• UK Regulation and Professional Integrity Certification
• Investment Risk and Taxation Certification
• Securities Certification
• Derivatives Certification

CFA Society of the UK (CFA UK)

• Certificate in Investment Management (IMC)

CFA Institute

• Certificate in ESG Investing

MEMBERSHIPS:

• The Chartered Institute for Securities & Investment (CISI) | Chartered Member
• SPS Certificate Holder

APPROVALS:

• Financial Conduct Authority (“FCA”) Approved Person (Reference Number: JXL86605)
• Financial Services Commission Mauritius Approved Person – Board Director of a Collective Investment Scheme (CIS).
• HMRC Approved – Responsible Person

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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