Peter Main Email & Phone Number

London, United Kingdom

RQC Group was founded in 2007 to provide integrated FCA and SEC compliance advice to clients, the first consultancy in the UK to do so, and we are now one of the most well-respected compliance consultancies with offices in the UK and the US.In addition to Compliance Consulting, we also offer Regulatory Hosting and e-Learning compliance courses, which.

London, United Kingdom

• Cordium is a market-leading provider of regulatory compliance consulting services, accounting, tax and software to the asset management and securities industry.Compliance consultants provide ongoing compliance support.
• Regulatory updates;
• Proactive advice and Business monitoring;
• Ad-hoc, reactive advice;
• Compliance Infrastructure design, implementation and bench marking;
• Maintenance of Compliance Policies and Procedures;

London, United Kingdom

• Global Compliance TestingPerforming risk assessments to prioritise areas for review across the fund administration, fund custodian, investment management and client facing departments.Identifying the scope and testing.
• Validating compliance against established policies and procedures and applicable regulations.
• Developing recommendations for corrective action based on review findings.
• Working with business compliance officers and management to agree on appropriate action plans.
• Writing reports presenting review results, articulating the rationale for findings, the risks posed and actions required to address those risks.
• Following-up on action plans to verify that corrective action has been effectively implemented.

London, United Kingdom

• Performing risk assessments to prioritise areas for review Identifying the scope and testing approach for reviews Provide coverage for Barclays EMEA regions - including occasional travelling to perform on-site.
• Validating compliance against established policies and procedures and applicable regulations.
• Developing recommendations for corrective action based on review findings.
• Working with business compliance officers and management to agree on appropriate action plans.
• Writing reports presenting review results, articulating the rationale for findings, the risks posed and actions required to address those risks.
• Following-up on action plans to verify that corrective action has been effectively implemented.Meeting standards for delivering high quality value added compliance risk reviews Maintaining a broad knowledge of the.

London, United Kingdom

• Undertaking and coordinating a risk assessment of all desks across the Investment Banking, Equities and Fixed Income divisions to highlight areas of greatest risk and to prioritise the allocation of compliance review.
• Assist Compliance Advisory Officers in their evaluation and documentation of the Compliance risk assessments of their respective businesses.
• Planning and executing risk based reviews on the regulatory risks faced by the various business lines across the business and recommend control enhancements where appropriate.
• Undertaking thematic reviews across all areas of the business encompassing relevant corporate policies and procedures, such as Confidentiality, Safe Custody, Client Order Handling and Retail Distribution.
• This includes reviews of overseas branches and subsidiaries across the region (Dubai, Milan, Frankfurt and Madrid since August 2010).
• Undertake and co-ordinate special investigations or ad hoc reviews at short notice.

Corporate WorkKYC checks in accordance with enhanced KYC legislation introduced during my employment with Carey Olsen;Drafting and amending Articles of Association;New company formations;Drafting board minutes and shareholder resolutions;Creation of precedents;Drafting and issuing opinions on the powers and incorporation of companies;Drafting Security.

Master Of Arts (M.A.), Art History, Criticism And Conservation

Activities and Societies: Vice President, Wine and Cheese ClubHistory of Art MA (2:1) Honours Courses taken: The Making of Modern.

Llb, Law

LPC Pass, Final Agg 60. Electives: Advanced Commercial Litigation (76) Equity Finance (63) Debt Finance (51). Litigation (52) Property.

Education record

Activities and Societies: General Studies PrizeA-Levels: English (A), History (A), Politics (B), General Studies (A) STEP Levels: English.