Bhavesh is a UK qualified lawyer with over 20 years in-house legal and compliance experience in Tier 1 sell-side investment banks and broker dealers including J.P. Morgan, Lehman Brothers, Nomura Securities and British Arab Commercial Bank plc. During his career as a General Counsel and Chief Compliance Officer, Bhavesh has held Senior Management Functions (SMF16 and SMF 17) in the UK and authorised person status with the DFSA (Dubai, U.A.E.), QFCRA (Qatar) and the CMA (Saudi Arabia).
- Established and implemented an OFAC Sanctions Compliance Programme for a UK authorised and regulated bank with business interests in North Africa.
- Undertook a Compliance desk review for a Trading Services business globally for a US investment bank subject to a OCC FX Consent Order.
- Led the MIFID II global implementation for a US investment Bank's Prime Brokerage and Equity Finance lines of business.
- Undertook a compliance assessment of the extra-territorial application of MIFID II for a US investment bank.
- International Compliance Association