SDEA provides a wide range of self-directed administrative support services. SDEA will assist you with all of your administration requirements under your instruction.You receive ongoing direct focused attention from your allocated administration team.Our staff have vast experience with various processes and administration duties and are happy to help with any requirements.You are assigned a dedicated resource to assist with your required processes, act on your… Show more SDEA provides a wide range of self-directed administrative support services. SDEA will assist you with all of your administration requirements under your instruction.You receive ongoing direct focused attention from your allocated administration team.Our staff have vast experience with various processes and administration duties and are happy to help with any requirements.You are assigned a dedicated resource to assist with your required processes, act on your instruction, and keep you updated with all aspects of the process. Show less

Responsible for the development, maintenance and implementation of all policies. Assist clients of the firm lodge successful complaints against other financial institutions that may have treated them unfairly or outside of the FCA principles and/or rules.*No longer registered with the FCA

Developed and maintained all policies pertaining to the firm’s compliance with regulations. Managed the Compliance team. Prepared and filed regulatory and statutory returns.

Wrote and implemented all policies and procedures. Whistleblower on the firm’s owner, resulting in the firm being closed down.

Updated all policies and procedures, to ensure that requirements of the FSMA and latterly MiFID were correctly implemented. Ran the Treasury and Investment Advisory team Supervised Settlements Department Assisted in the drafting of Risk Management Policies. Ensured the correct classification of customers. Ensured that activities were conducted in accordance with COB and MAR rules. Primary contact for both the FSA and FOS as appropriate.… Show more Updated all policies and procedures, to ensure that requirements of the FSMA and latterly MiFID were correctly implemented. Ran the Treasury and Investment Advisory team Supervised Settlements Department Assisted in the drafting of Risk Management Policies. Ensured the correct classification of customers. Ensured that activities were conducted in accordance with COB and MAR rules. Primary contact for both the FSA and FOS as appropriate. Established and dealt with the IRS in respect of the bank’s Qualified Intermediary status. At one stage I was also the Head of Private Banking Show less

Updated policies and revised the Company’s Compliance Manual and procedures, Filed regulatory reports, Provided advice on the impact of proposed structural changes and Kept the CEO advised of regulatory changes which affected the business.

The fund management company ran a number of funds including OEICS and EIS funds. I developed and maintained the policies and procedures of each regulated entity to ensure compliance with all pertinent rules and regulations. Prepared and filed regulatory returns, performed compliance reviews and reported at group board level on all compliance and MLRO issues.

Updated policies and advised on potential new areas of business and the regulatory impact on the firm, Completed and filed all regulatory returns Advising the CEO of regulatory changes which affect the daily business.

Dual roles responsible for ensuring the continuing compliance of Astor Securities on behalf of Moore Clayton and acting as general manager of Astor Securities. Dealing with customer complaints, Developing the firm’s client base, and looking for new products.

Dual roles responsible for ensuring the continuing compliance of Astor Securities on behalf of Moore Clayton and acting as general manager of Astor Securities. Dealing with customer complaints, Developing the firm’s client base, and looking for new products.

Updated all policies and procedures, Monitored market making activity, and compliance with rules of OFEX. Assisted in FSA or OFEX investigations.

Wrote policies and procedures, to ensure that requirements of the FSMA were implemented prior to N2. (Particular emphasis on High Level Standards and Training and Competence).

Prepared Regulatory, Statutory and Management Accounts, Ensured compliance with FSA/SFA regulations.

Prepared Regulatory, Statutory and Management Accounts, Ensured compliance with FSA/SFA regulations, Ensured settlement of trades, Performed compliance reviews, Produced monthly payroll.

Initially responsible for ensuring that appropriate procedures were established, adequate systems were installed, and appropriate office accommodation was taken, and obtaining SFA authorisation to conduct investment business. Subsequent to authorisation being granted, Responsible for staff recruitment Supervised all middle and back office staff and functions, including: Preparation of Regulatory, Statutory and Management Accounts, Compliance with… Show more Initially responsible for ensuring that appropriate procedures were established, adequate systems were installed, and appropriate office accommodation was taken, and obtaining SFA authorisation to conduct investment business. Subsequent to authorisation being granted, Responsible for staff recruitment Supervised all middle and back office staff and functions, including: Preparation of Regulatory, Statutory and Management Accounts, Compliance with FSA/SFA regulations, Settlement of trades, Produced monthly payroll, Managed FX and all other risks, Show less

Compliance Officer for four regulated companies

Compliance Officer for four regulated companies

Scheduling reviews of all branches, supervising and performing reviews, training staff and updating audit procedures to facilitate system based auditing, supervising 4 members of staff.

Scheduling reviews of all branch treasuries, supervising and performing reviews, training staff in treasury auditing techniques also responsible for auditing Sheppards stockbrokers and BAII’s capital markets group and performing compliance reviews.

Liaison with the Treasury management, systems development staff, etc. ensuring that adequate controls were established for all new systems and products. Assisting in the scheduling of audit reviews, reviewing all audit reports concerning the treasury, treasury back office and treasury accounting functions. Prior to becoming the Treasury Audit Specialist, I led teams or assisted them in an advisory capacity reviewing all areas of the bank.