During my time with ACA I have: • Been responsible for numerous client relationships with a variety of hedge funds and private equity firms, which includes setting up the compliance framework, reviewing the periodic compliance monitoring, reviewing financial promotions, reviewing FSA returns, and answering questions as they arise• Spent on average two days per month executing the compliance monitoring programme at hedge funds with AUM of between $500m and $1.5bn. This included, but was not limited to, monitoring: market abuse; best execution; allocation of trades, PA dealing; gifts and financial promotion.• Presented at conferences in the UK and the US on numerous regulatory matters, including the AIFMD• Been responsible for reviewing and digesting the AIFMD including writing the information for the AIFMD part of the website. • Writing compliance/regulatory articles for various publications• Drafting policies and procedures, including compliance manuals, ICAAP’s and liquidity assessments• Drafted and reviewed FSA returns and submissions on ONA and GABRIEL• Reporting, both internally and to clients, on regulatory changes/developments, including the AIFMD and the restructuring of the FSA• Conducting compliance ‘health-checks’/gap analysis and planning and implementing the remedial action

Complyport is a leading regulatory consultancy firm with over a hundred clients. My specific responsibilities include:Drafting and reviewing a large number of ICAAPs for different firms, e.g. investment managers and brokers. This has included a detailed qualitative and quantative analysis of the risks to the firms and an analysis of their capital planning. Researching and implementing regulatory changes, including MiFID, the CRD and the HFSB.Drafting and submitting complex variation of permissions.Reviewing legal documentation, including NDA's, Investment Management Agreements; Investment Advisory Agreements; and Appointed Representative Agreements, among others. Participating in the mock ARROW visits, involving: interviewing staff; reviewing documentation; assessing the risk assessment of the firm and areas of weaknesses; and drafting the report.Researching and digesting new regulatory developments and providing staff/clients with an overview of the changes.Writing and publishing compliance and regulatory articles, which are distributed to all clients. Updating Compliance Manuals, monitoring programmes and relevant procedures as and when necessary.Assisting the Jersey office with AML checks and compliance manual reviews. This led to spending a number of months on Jersey at the Complyport office. A member of the project team opening up an office in Doha. Marketing sign offCompliance monitoring reviews on all areas of the FSA Handbook, including best execution and personal account dealing.

Responsible for monitoring regulated activity of hedge fund management teams and firms appointed representatives. Reporting to members of the LLP. Execution of the firm's compliance monitoring programme - reporting findings and recommendations to Partners. Reviewing and authorising financial promotions.Completing FSA returns and forms.Personal account dealing authorisation. Conducting due diligence on prospective investment managers.

PD Legal & Compliance Group, Contract roleReviewing legal documentation such as loan agreements. Researching Chinese banking law and the validity of conducting business. Updating compliance training programmes, including AML procedures.Reviewing and updating sanctions lists; Reviewing the provisions of MiFID, specifically helping with the construction of the MiFID implementation plan. Assisting in the Legal and Compliance side of opening new branches in Milan and Dubai.