Sam Brittain Email & Phone Number

Royal Leamington Spa, Gb

Stratford-Upon-Avon, England, United Kingdom

London Area, United Kingdom

Coventry, England, United Kingdom

- Horizon scanning, summarising, and interpreting complex regulatory changes, providing concise assessments of their impact on the business, and contributing to implementing regulatory changes within the business.- Providing oversight and ensuring robust controls for KYC and AML onboarding of institutional customers, and oversight of maintaining compliance with EMIR, MiFIR, and SFTR regulations.- Preparing and presenting reports to key committees such as ERC and ALCO, ensuring understanding and buy-in from stakeholders.- Supporting in managing the relationship with the PRA, including responding to consultation papers and firm feedback surveys. - Conducting thematic and compliance reviews based on risk profile and regulatory developments.- Tracking progress against actions to meet new regulations and regulatory requests. - Providing expert guidance to enterprise leaders and senior managers on tracking regulatory deadlines and implementing necessary actions for compliance.

Tiddington, Warwickshire, United Kingdom

- Collate, analyse and communicate investment performance, risk and compliance results.- Conduct regular compliance and reconciliation checks following policies, procedures, and limits of authority to meet legal and regulatory requirements. - Calculate fund performance and produce management information for committees and other areas of the business. - Analyse, identify and report on risks, develop controls and mitigations to quantify risk and manage exposure levels to risk or the impact of risk. - Build and maintain strong relationships with key business stakeholders. - Design and conduct investment monitoring checks. Identification, resolution and escalation of issues to prompt corrective action.

Stoneleigh, Warwickshire, United Kingdom

Warwick

Msc, Palaeoanthropology, Merit

Bachelor Of Science - Bs, Archaeology, 2:1