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 compliment our core consulting service, to help you connect the dots.https://www.rqcgroup.com/about/

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 service covering all aspects of the compliance obligations of UK Investment firms. Providing clients with:• Regulatory updates;• Proactive advice and Business monitoring;• Ad-hoc, reactive advice;• Compliance Infrastructure design, implementation and bench marking;• Maintenance of Compliance Policies and Procedures;• Compliance Monitoring; and• Regulatory training.Providing compliance solutions for a broad range of hedge fund mangers, Private Equity and Venture Capital firms, Fund of Funds, US Mutual Funds, Wealth Managers, Corporate Financiers, Real Estate Investment Managers and Investment Banks.My role includes:• Managing set up for newly authorised clients • Ensuring compliance infrastructure is maintained • Performing compliance monitoring• Production of client reports• Providing information on regulatory developments to clients, both by means of quarterly visits, or by contacting clients individually• Ad-hoc advice to clients as requested• Support the delivery of training as necessary• Participate in pitching on-going services and projects when requiredClient management• Monitoring client profitability and suggesting fee increases to management as appropriate, and negotiating fee increases where possible• Identifying additional fee opportunities• Maintaining a good awareness of the client’s business and raising any concerns with the firm’s management immediatelyContribution to organisation• Technical specialist and Subject Matter Leader in SEC legislation • Attending external legal briefings and briefing the wider team • Reviewing and digesting regulatory developments and disseminating this information to the consulting team• Proactively suggesting improvements to the firm’s technical collateral

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 approach for reviews Provide coverage for Northern trust globally - including occasional travelling to perform on-site reviews.Performing compliance reviews including the following aspects: • 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 reviews.Performing compliance reviews including the following aspects: • 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 Firm’s business and regulatory framework in which it operates Developing relationships with business compliance officers and management to keep abreast of current business developments and regulatory issues that may impact the risk environment of the Firm Enhancing CRR results through group planning, feedback, and development efforts

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 resources. • 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.• Foster relationships and compliance initiatives across all the EMEA business facing compliance advisory teams.• Contribute to the development of team's industry and product knowledge base and review methodology.• Monitoring the implementation of review recommendations to ensure enhancements across the firm to mitigate risk.• I have also lead the team in the introduction and implementation of GRC software to enhance the security of the team and the information we discover.

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 Interest Agreements;My biggest responsibility was migrating a company from Guernsey to Malta for which I acted as the sole fee earner drafting all the necessary documentation, liaising with 4 teams of international lawyers and the regulatory authorities of Guernsey and Malta.Fiduciary WorkI supported lawyers in the establishment, registration and updating of investment funds in Guernsey;obtaining all relevant documentation from clients; liaising with the Guernsey Financial Services Commission; checking fund prospectuses and updating them as necessary.Paralegal/secretarial responsibilitiesCreating and managing document files;Proof reading;Billing;Legal research;Updating files for companies for which CO acted as the registered office;Photocopying, printing, faxing, scanning, filing;Producing bundles;Updating statutes.The London office of Carey Olsen is a small one (3 partners) and I was expected to undertake a wide variety of tasks, work across all the departments and be self-motivated.

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.