Get in Touch
T: +44 20 3695 9251
E: info@grtconsult.com
71-75 Shelton Street Covent Garden, London, WC2H 9JQ
Get in Touch
T: +44 20 3695 9251
E: info@grtconsult.com
71-75 Shelton Street Covent Garden, London, WC2H 9JQ
John has over 5 years’ experience in Financial services and Compliance professional. Motivated and organized individual with excellent communication and interpersonal skills, FCA Approved Person with Individual Reference Number: JGM01173. Proven ability to lead and manage projects and teams with particular attention to detail. Business implementation of MiFID II, EMIR, AIFMD and UCITS, AMLD IV and Dodd-Frank. Experience liaising with regulators and industry bodies, including; SEC, CFTC, FINRA, ISDA, FCA, CBI, CSSF, JFSC, CMIA and FMSA. LLM Specialism in EU Regulatory Banking Law, focusing on Basel III, CRD IV, Solvency II. Extensive experience of fund documents, investments, fund structures and products. Ability to draft legal agreements and compliance checks for review by company stakeholders. Experience interpreting and negotiating complex financial agreements. Expert panellist in relation to the future of European Regulation and its current trajectory. Seat on European Risk Council in matters related to SMCR Regime. Proven ability to establish, lead and develop a business function.
Conduct training and retain records in accordance with regulatory requirements.
Report to the risk and compliance committees established by the relevant boards.
Establish a full compliance programme for white-label offering.
Implement regulatory projects, surveillance or reviews as appropriate.
Carry out all investigative measures necessary to ensure controls and procedures are appropriate.
Preform full gap analysis on regulated entities regulatory permission requirements.
Sole responsibility for PfP Capitals approval as a “Full Scope UK AIFM”.
Utilise internal accounting and compliance software to ensure accurate client reporting.
Perform risk and tax reporting duties in line with regulatory rules and internal policy.
Ensure compliance with regulatory accountancy rules and international banking regulations.
Maintain proper financial records for review by clients.
Effectively communicate and interpret the life cycle of an investment.
Establish AML frameworks and appropriate reporting templates.
Carry out AML risk reviews, analyse and update policy in accordance with guidelines.
Establish AML/CTF training plan for the board and team members across the group.
Monitor and implement AML/CTF guidelines appropriate to specific group entities.
Preform full compliance, AML/CTF gap analysis on all group entities.
Carry out AML checks and review KYC documentation ensuring compliance with regulation.
Establish AML/CTF training plan for the board and team members across the group.
Monitor and implement AML/CTF guidelines appropriate to specific group entities
