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Matthew Baggott

Senior Analyst, London

Matt joined DWF in May 2022 and has quickly become an integral part of the team, demonstrating a versatility across all areas of Compliance and Financial Crime.
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Experience


Matt is a consumer focused, enthusiastic, ambitious and experienced financial services professional specialising in regulatory Risk and Compliance. 

Matt has worked on the following projects related to Financial Crime Compliance, including; review of the new risk assessment methodology and client take-on process for a major international Broker; assessment of requirements in respect of complying with evolving sanctions as a result of the Russian invasion of the Ukraine. This included looking at third party due diligence, across the supplier chain to ensure that each counterparty can be assured that they are not dealing with suppliers who may have links to sanctioned individual or prohibited industries; advising upon a multitude of issues pertaining to suspicious activity and whether clients should make Suspicious Activity Reports (SARSs). This also extends to Suspicious Transaction and Order reporting (STOR). As part of this he has advised upon when clients should make a Defence Against Money Laundering (DAML) requests. 

Matt has also worked on a range of compliance and advisory projects for clients including FCA mandated Independent Reviews, multiple Control Framework projects and Training for a range of firms, including Overseas Banks, multi-jurisdictional Brokers, Wealth Managers and a High Street retailer. 

In his previous role, Matt worked for a leading UK Wealth Management PLC, where he was the compliance lead for; regulatory change and horizon scanning and provided regular commentary and reports to management, including the CEO; acquisition integration projects in relation to gap analysis focusing on regulatory policies and processes; complaints handling and conflict resolution; advice suitability.