Previous Assignments

  • Establishment of Private Client Stockbroking firms (including one of the largest in Europe)
  • Establishment of Regulated Institutional Businesses
  • FCA Approval Process
  • Development of margin lending products
  • RDR Updates and Approval
  • FATCA Advice
  • Database Reviews and Migration
  • Operational Risk Reviews
  • Business and Systems Development
  • System Conversion and Implementation
  • Customer Satisfaction Surveys
  • Project Management of Marketing and PR campaigns
  • Procedural documentation
  • Compliance
  • Provision of Compliance Officers
  • Preparation of Skilled Persons report
  • Preparation for regulatory inspections
  • Support within regulatory investigations
  • Complaints handling
  • Compliance reviews
  • Preparation and maintenance of operational and Compliance Procedure manuals
  • Development and maintenance of Disaster Recovery Procedures
  • Interim compliance management
  • Operational Support
  • Interim operations management
  • Reconciliations
  • Database reviews and enhancement
  • Project Management of aggregated dealing services
  • Managing projects to eliminate Dividend and Corporate Actions backlogs
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