Previous Assignments

• Establishment of Private Client Stockbroking firms (including one of the largest in Europe)
• Establishment of Regulated Institutional Businesses
• FSA Approval Process
• RDR Updates and Approval
• FATCA Advice
• Database Reviews and Migration
• Operational Risk Reviews
• Business and Systems Development
• Customer Satisfaction Surveys
• Project Management of various Marketing and PR campaigns.
• Designed and implemented the first full Straight Through Processing system for a Private client Stockbroking Company
• Procedural documentation

Compliance

• Provision of Compliance Officers
• Preparation of Skilled Persons report
• Preparation for regulatory inspections
• Regulations investigations
• Complaints handling
• Compliance reviews
• Preparations and maintenance of operational and Compliance Procedure manuals
• Development and maintenance of Disaster Recovery Procedures
• Interim compliance management

Operations

• Interim operations management
• Reconciliations
• Database reviews and enhancement
• Project Management of aggregated dealing services
• Managing projects to eliminate Dividend and Corporate Actions backlogs
• Documentation