Previous experience includes working within compliance teams at a stock-broker and as an analyst within asset management. Charlie has a broad range of experience having advised firms across the financial services sector. This includes asset managers, wealth managers, brokers, insurance firms, e-money and payment services firms, and banks.
Charlie is a generalist, with experience in a range of areas such as FCA Skilled Person reviews, advisory projects, due diligence reviews, and FCA regulatory processes. Specifically, he focuses on projects regarding conduct of business regulations, MiFID II, governance and oversight arrangements (including the UK Senior Managers and Certification Regime (SM&CR)), risk assessments, compliance monitoring, Brexit, and ESG.
Charlie also has extensive anti-money laundering experience (AML), having worked on multiple FCA Skilled Person reviews and advisory projects. This includes six years working for an independent monitor across multiple international jurisdictions on a deferred prosecution agreement between the U.S. Department of Justice and one of the world’s largest banks, reviewing the firm’s AML systems and controls on a global basis.
Charlie has a BA (Hons.) in History from Newcastle University.
He also holds a number of professional qualifications including: the CFA Investment Management Certificate (IMC), the CISI Diploma in Investment Compliance (MCSI), and the ACAMS Certified Anti-Money Laundering Certification (CAMS).