Jonathan Cooke Email and Phone Number
I am a first-class BA Hons graduate in Criminology with a passion for Compliance and Financial Crime within the financial services industry. With seven years of experience in the sector, I've honed my skills and expertise, eager to make a significant impact in investment compliance.Currently serving as an Investment Compliance Officer at Evelyn Partners, I've transitioned internally to fulfill my long-term aspiration of contributing to the compliance landscape. My role involves conducting Compliance Thematic reviews for designated areas of the business, to determine the extent to which our firm complies with FCA rules. Additionally, I have previous advisory compliance experience as well as completing suitability file reviews, addressing compliance queries, and actively participating in monitoring and reporting tasks to ensure regulatory compliance.Prior to my current position, I excelled as a Senior Investment Operations Analyst, where I managed internal and external queries, facilitated client reporting, and played a pivotal role in strategic projects such as system migrations and platform enhancements. My tenure equipped me with invaluable experiences in project management, stakeholder engagement, and analytical problem-solving.Complementing my practical experience, I hold the CISI Investment Operations Certificate, reflecting my commitment to continuous professional development and industry knowledge.
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Investment Compliance OfficerEvelyn Partners May 2022 - PresentLondonI moved internally to Investment Compliance Officer in May 2022, fulfilling a long-term aspiration. As part of the Compliance Team's advisory function, I conducted file reviews to assess suitability of products and services for clients. I handled compliance queries and executed ad-hoc tasks for externa/third parties. Expanded knowledge of industry regulations through diverse tasks including BAU compliance monitoring. In February 2023, transitioned to my current role in the Assurance team, conducting Thematic reviews and reporting findings and recommendations to senior management and executives to ensure the firm meets its regulatory obligations and identify areas for improvement. Actively involved in the validation of tasks for the Consumer Duty Implementation project, ensuring compliance with FCA requirements. -
Senior Investment Operations AnalystEvelyn Partners Nov 2019 - May 2022London Area, United KingdomMy responsibilities included third party reporting and project work. I led a significant project involving the migration of market data terminals post-merger. Additionally, I contributed to the development and maintenance of the Investment Portal, optimizing performance, and user experience. I played a key role in the firm's migration to a new software system, creating and implementing business procedures across departments. This role facilitated my professional growth in project management, stakeholder engagement, attention to detail, problem-solving, and meeting deadlines. -
Investment Operations AssistantSmith & Williamson Jan 2018 - Nov 2019LondonI provided comprehensive support to the Investment Front Office, ensuring positive client outcomes. Responsibilities included handling queries, managing administrative tasks, and participating in deadline-driven projects and collaborating across departments. -
Transfers AdministratorInteractive Investor Apr 2017 - Nov 2017Leeds, United KingdomMy first professional role post graduating from University. Responsibilities included overseeing and executing client account transfers and agreeing trade and settlement dates with external brokers across multiple systems such as Crest and Euroclear.
Jonathan Cooke Education Details
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Lincoln College Gb
Frequently Asked Questions about Jonathan Cooke
What company does Jonathan Cooke work for?
Jonathan Cooke works for Evelyn Partners
What is Jonathan Cooke's role at the current company?
Jonathan Cooke's current role is Investment Compliance Officer at Evelyn Partners.
What schools did Jonathan Cooke attend?
Jonathan Cooke attended Leeds Beckett University, Lincoln College Gb.
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Jonathan Cooke
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Jonathan Cooke
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Jonathan Cooke
Maximising Revenue Opportunities Through Industry Leading Tech - Customer Focussed - Commercial Leader.Leeds2legendware.co.uk, mullen-group.com1 +140358XXXXX
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