Stuart Wilson - Head Of Compliance / Mlro Email and Phone Number
An influential, highly-motivated and commercially-minded senior compliance professional, who believes that an effective compliance function has a crucial and significant role in supporting a business achieve its strategic goals and growth plans. I have over 25 years’ experience working within Risk & Compliance roles covering multiple jurisdictions, the last 16 years of which in compliance leadership positions, including 11 years as SMF16(CF10) / 8 years as SMF17(CF11). During this time, I have been at the forefront of regulatory changes and industry trends. Ensures business functions receive timely and qualitative compliance advice, that senior management are fully aware of their individual and collective regulatory obligations and that clients are properly protected. I have forged a successful career at several of the world’s largest financial institutions and been instrumental in supporting the business functions through significant changes to the regulatory landscape and market environment with strong, risk-based and pragmatic guidance and decision-making. I started my career within the asset servicing, trustee and depositary business of The Royal Bank of Scotland plc, which served to provide an excellent foundation for development of a strong understanding of securities markets, financial instruments and asset classes. I joined BNY Mellon Investment Management (now BNY Investments) in 2013 as Director of Compliance for the Investment Management Global Distribution business with responsibility for the UK, Europe, Middle East & Africa (EMEA) and Latin America regions. During this time, I took on the additional responsibilities of Money Laundering Reporting Officer for a MiFID investment firm and an authorised fund manager (AFM), and later the operational risk function, also covering prudential risk including ICARA (previously ICAAP).My career journey has enabled me to develop a strong and comprehensive understanding of the investment management and securities servicing sectors, fund operations, and global distribution operations, with regulatory specialisms in areas covered by MiFID, UCITS, AIFMD and CASS rules to name but a few.I have faced many challenges in my long and successful career and have been able to demonstrate great strength of character and resiliency to overcome setbacks, learn from these and adapt. I am 'hands-on' and a great team player, and place great importance on the empowerment of others to help them develop and grow, leaning in to help solve problems, and providing ongoing coaching and management support.
Ubs
View- Website:
- nyftyfitness.com
- Employees:
- 28
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Director, Compliance And Operational Risk Control, Asset ManagementUbsLondon, Gb
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Director, Head Of Compliance, Mlro & Risk Officer, Bny Mellon Investments Emea & Latin AmericaBny Feb 2013 - Jul 2024London, United KingdomChief Compliance Officer for the BNY Mellon Investment Management central distribution organisation covering UK, Europe, Middle East & Africa (EMEA) and Latin America regions with responsibility for oversight of the principal operating companies in the UK and Luxembourg, including branch offices in France, Germany, Italy, the Netherlands, Spain and Sweden, subsidiary in Switzerland, and representatives of IM based in Dubai, UAE.Designated Compliance Officer (SMF16) and MLRO (SMF17) for BNY Mellon Investment Management EMEA Limited, a MiFID Investment Firm, and BNY Mellon Fund Managers Limited, a UK UCITS management company and alternative investment fund manager (AIFM). Legal Entity Risk Officer for these entities with 'overall responsibility' under SMCR for the execution of the risk management programme.Responsible for leading a team of 13 compliance professionals based in London, Edinburgh, Luxembourg, Paris and Madrid, including the Compliance Officer in Luxembourg and MLRO for the fund ranges domiciled in Ireland. Provide support and guidance to the business line Risk function in the application of the operational risk management framework and in respect of prudential risks, including development of the ICARA.Broad responsibilities include: (i) ensuring provision of appropriate and timely advice on regulatory matters, including the impact of regulatory change and business initiatives on the risk profile of the firms, product governance matters and other investment management services; (ii) compliance risk assessment and annual compliance monitoring activities; (iii) development and management of broader compliance and ethics programmes, procedures and documentation; (iv) lead role in oversight and due-diligence of investment management affiliate firms, and fund administrators; (v) effective management of relationships with regulatory authorities, and; (vi) contribution to the effective management and governance of legal entity subsidiaries. -
Director, Emea Compliance AdvisoryBlackrock Mar 2012 - Feb 2013London, United KingdomHead of Compliance Advisory team servicing BlackRock EMEA Retail business including UK and Luxembourg products and Fundamental Equity portfolio management division and trading desk.Also responsible for managing the Regulatory Developments function within EMEA Compliance, co-ordinating Compliance contribution to regulatory affairs and public policy agenda in Europe, engaging with colleagues in Legal & Compliance, Government Affairs team and with business stakeholders. Responsibilities involve managing a team of 10 Compliance professionals, directing advisory oversight work and providing training to assist the business areas in managing regulatory risk.In addition, represent Compliance as voting-member of several internal governance committees, in particular the EMEA Pricing Committee, EMEA Price Swinging Committee, EMEA Product Development Resources Committee and KIID Committee. -
Director, Emea Compliance AdvisoryBlackrock Dec 2010 - Mar 2012London, United KingdomHead of Compliance Advisory teams which during the period, serviced various portfolio management, trading and investment advisory functions within BlackRock EMEA, specifically:• BlackRock Multi-Asset and Client Solutions (BMACS) which managed c.US$491bn in asset allocation, derivatives solutions and LDI strategies, and c.US$298bn in structured solutions and advisory assignments. • Fixed Income, divided into active and model-based strategies encompassing the full spectrum of fixed income assets, including government, credit, rates and asset-backed securities.• Cash / Liquidity Strategies, comprising pooled money market funds and separate accounts.• Scientific Active Equity, which used cutting-edge technology and sophisticated analytics techniques to identify investment insights faster, at greater scale, and with more granularity than traditional methods.• Global Markets Strategies Group ('GMSG') which managed BlackRock's global macro product suite, including the flagship Cayman-domiciled Global Ascent hedge fund with c.US$9bn AUM investing in equities, bonds, short rates, credit and emerging markets.• Financial Markets Advisory Practice, part of BlackRock Solutions. Services provided included tailored advice to clients with complex capital market exposures, and portfolio valuation and risk assessment of investment portfolios and specialised asset disposition strategies.This assignment involved managing a team of 4 Compliance professionals.
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Director, Deputy Head Of Emea Funds ComplianceBlackrock Jan 2008 - Dec 2010London Area, United KingdomResponsible for leading Compliance advisory relationship with the International Retail and Institutional business areas, in particular in respect of the EMEA mutual fund ranges domiciled in Luxembourg, Ireland, UK and Cayman, and UK Life Companies.Key Responsibilities and Achievements:-Assist in setting of strategic objectives for team and delivery of tactical plans.-Prioritisation and deployment of Compliance resource in respect of product launches, fund-mergers, closures etc.-Managing relationships with Trustee/Depositaries in the UK and Ireland, and auditors in Luxembourg, ensuring effective dialogue on regulatory matters and prompt resolution of issues.-Managing 4 direct reports, contributing to setting of strategic objectives for team and execution of Compliance programme for EMEA Retail.-Managed cross-border fund registrations function for 5 years covering host-state registrations/notifications of products distributed cross-border covering 37 markets in Europe, Asia and Latin America.-Co-oordinated response to the FSA on the Retail Distribution Review (RDR) and other UK/EU legislative consultation documents.-Key contributor to the delivery of UK Treating Customers Fairly (TCF) initiatives in accordance with FSA requirements, including development of enhanced product disclosure documentation.
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Vice President, Retail ComplianceBlackrock Jan 2004 - Jan 2008London Area, United KingdomKey Responsibilities / Achievements:• Progressive involvement in new and increasingly complex product launches including professional/expert investor funds and real estate funds.• Took on responsibility for fund registrations function without any prior knowledge, and developed profile of the team and processes within the broader business, leading projects to register funds in multiple new markets.• Involved in a number of high-profile operational initiatives including the migration of UK transfer agency operations to Jacksonville (Fl.) in 2004, and transition of the funds domiciled in Ireland and Jersey to a new administrator.• Co-ordinated implementation of Simplified Prospectus in the UK in 2005.• Participated in conversion to UCITS III operational infrastructure including establishment of the Luxembourg management company and adoption of COLL rules in the UK.• Redeveloped internal investment guidelines documents for UK retail fund range and provided support on transfer of guideline restriction sets to new mandate compliance monitoring system.
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Assistant Vice Preseident, Retail ComplianceMerrill Lynch Dec 2000 - Jan 2004Experience of note:• Development of anti-money laundering training presentation to London-based employees in the retail business.• Key contributor to establishment of compliance monitoring programme for delegated functions including fund accounting and transfer agency operations.• Developed process for annual fund manager review and sign-off of internal investment guidelines for UK authorised and unauthorised funds.• Developed trend analyses of breaches and complaints.• Introduced revised policy and monitoring in respect of gifts and entertainments.• Assumed management responsibility for first direct report in 2002. -
Trustee & Depositary ServicesRoyal Bank Of Scotland Jul 1988 - Dec 2000Worked within the Global Securities Services division of RBS, including roles within the banking/clearing centre, custodian trustee and fund administration functions.Joined the Compliance Audit function in 1996 which oversight of activities undertaken by fund operators, conducting regular site-visits to client offices and remote monitoring of breaches and errors.
Stuart Wilson - Head Of Compliance / Mlro Education Details
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Uk Cfa SocietyInvestment Management Certificate
Frequently Asked Questions about Stuart Wilson - Head Of Compliance / Mlro
What company does Stuart Wilson - Head Of Compliance / Mlro work for?
Stuart Wilson - Head Of Compliance / Mlro works for Ubs
What is Stuart Wilson - Head Of Compliance / Mlro's role at the current company?
Stuart Wilson - Head Of Compliance / Mlro's current role is Director, Compliance and Operational Risk Control, Asset Management.
What schools did Stuart Wilson - Head Of Compliance / Mlro attend?
Stuart Wilson - Head Of Compliance / Mlro attended Uk Cfa Society.
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Stuart Wilson - Head Of Compliance / Mlro's colleagues are Flloyd Rewa, Ethan Harro.
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