Jonathan Cooke Email & Phone Number

London

I 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.

London Area, United Kingdom

My 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.

London

I 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.

Leeds, United Kingdom

My 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.

Bachelor'S Degree, Criminology, 1:1

Education record