Steve D. Email & Phone Number

London, England, United Kingdom

London, United Kingdom

I oversee the compliance and risk management for a national Corporate Finance team of over 190 professional partners & staff across 11 UK offices. I provide compliance advice on a range of transaction types including:- M&A sell side advisory- M&A buy side advisory- Debt advisory- Financial modelling- Acquisition Due Diligence- Vendor Due Diligence- Reporting AccountantMy current role involves:- Implementation and monitoring of procedures and… Show more I oversee the compliance and risk management for a national Corporate Finance team of over 190 professional partners & staff across 11 UK offices. I provide compliance advice on a range of transaction types including:- M&A sell side advisory- M&A buy side advisory- Debt advisory- Financial modelling- Acquisition Due Diligence- Vendor Due Diligence- Reporting AccountantMy current role involves:- Implementation and monitoring of procedures and maintenance of robust compliance manuals- Maintaining compliance with AML regulations via robust client take-on procedures - Providing support and advice on AML, regulatory, risk and control issues to the business- Carrying out assurance reviews & escalating any material findings to senior management and oversee any corrective action.- Reviewing and approving all new leads and contingent fee proposals via acceptance committee - Providing group training on all risk & compliance issues- Sitting on various risk, compliance & technical committees- Reviewing & maintaining all CF engagement and other legal documents- Liaising with and reporting to Financial Conduct Authority Show less

London, United Kingdom

Dubai, Uae

Carried out on part-time basis - based in Dubai circa one week every two months. I am the authorised MLRO and Compliance Officer for a Corporate Finance advisory firm located in the DIFC and regulated by the Dubai Financial Services Authority (DFSA). The role mirrors my role in the UK, but requires adherence to local legislation and DFSA rules, in addition to preparing annual MLRO reports for the board. The role also entails:- Submitting annual AML returns and quarterly… Show more Carried out on part-time basis - based in Dubai circa one week every two months. I am the authorised MLRO and Compliance Officer for a Corporate Finance advisory firm located in the DIFC and regulated by the Dubai Financial Services Authority (DFSA). The role mirrors my role in the UK, but requires adherence to local legislation and DFSA rules, in addition to preparing annual MLRO reports for the board. The role also entails:- Submitting annual AML returns and quarterly capital adequacy reports to the DFSA. - Updating all compliance manuals to ensure compliance with local rules and regulations- Submitting suspicious activity reports to the AMLSCU and providing training to all staff- Acting as the contact person for DFSA or any UAE regulatory authorityI am a member of the Board for BDO Corporate Finance (Middle East) LLP Show less

Ba (Hons), Business Economics

Education record