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Senior
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0
jobs
Compliance, GDPR, governance, risk, operations in financial services
James Lunn
,
London, United Kingdom
Experience
Other titles
Skills
I'm offering
A highly driven compliance and operations professional with excellent interpersonal skills, I have a high degree of commercial awareness and a strong skillset including the ability to communicate complex issues quickly and concisely, concentrated attention to detail, creative thinking and project management.
Markets
United Kingdom
Language
English
Fluently
Ready for
Larger project
Ongoing relation / part-time
Available
My experience
2018 - ?
job
Compliance Manager, Europe
First Trust Global Portfolios.
FTGP is a UK based affiliate of First Trust, a US investment firm managing approximately $170bn of assets. FTGP mainly acts as a distributor of Irish domiciled UCITS funds, and US 40 Act funds. The company is also a registered investment advisor with the SEC.
• Carried out a root and branch review of compliance monitoring programme and policies
• Successfully applied for a Variation of Permission from an AIFM to a full-scope MiFID firm
• Re-passported to 15 European jurisdictions following VoP
• Advised on SMCR implementation and other regulatory change
• EMIR Reporting and MiFID transaction reporting
• Creation of Social Media and LinkedIn Usage Policy
• Implementation of Door DDQ and Seismic Marketing software
• Sitting on both Risk Oversight Committee and Best Execution Committee
• Required sign off on all EU financial promotions
• Production and provision of both general and subject-specific training
• Carried out a root and branch review of compliance monitoring programme and policies
• Successfully applied for a Variation of Permission from an AIFM to a full-scope MiFID firm
• Re-passported to 15 European jurisdictions following VoP
• Advised on SMCR implementation and other regulatory change
• EMIR Reporting and MiFID transaction reporting
• Creation of Social Media and LinkedIn Usage Policy
• Implementation of Door DDQ and Seismic Marketing software
• Sitting on both Risk Oversight Committee and Best Execution Committee
• Required sign off on all EU financial promotions
• Production and provision of both general and subject-specific training
Social Media, Marketing, Training, Linkedin, Compliance, Implementation, Affiliate, Monitoring, Software, Regulatory, Production, MiFID, Manager, Social
2016 - 2018
job
Compliance and Business Operations Manager, EMEA
AMP Capital Investors.
AMP Capital is a leading global asset manager specialising in infrastructure, real estate, fixed income and equities with approximately $140bn under management. I oversee internal compliance for the UK, Europe and Middle East offices, along with secondary support to the various funds managed from the UK including working knowledge of UCITS and AIFMD.
• Role as before, but picking up several additional responsibilities including line management of a team of 12 people and oversight of key support functions such as IT and HR/staff onboarding
• Provided regulatory and licensing advice on opening of two new offices, in Dublin and DIFC
• Updated cybersecurity policy, arranged for this party penetration testing, and procurement of office recovery site
• European lead on MiFID II implementation project
• European lead for GDPR implementation, and ongoing monitoring as part of CMP
• Advised on forthcoming SMCR and other regulatory change
• Role as before, but picking up several additional responsibilities including line management of a team of 12 people and oversight of key support functions such as IT and HR/staff onboarding
• Provided regulatory and licensing advice on opening of two new offices, in Dublin and DIFC
• Updated cybersecurity policy, arranged for this party penetration testing, and procurement of office recovery site
• European lead on MiFID II implementation project
• European lead for GDPR implementation, and ongoing monitoring as part of CMP
• Advised on forthcoming SMCR and other regulatory change
Support, MiFID, UP, Manager, Penetration testing, Regulatory, Office, Testing, Infrastructure, Monitoring, Operations, Implementation, It, Compliance, Onboarding, Operations manager, Management, GDpr, Procurement
2013 - 2014
job
Strategic Projects and Compliance Officer
Austyn James Consulting.
Austyn James Consulting is a boutique consultancy specialising in cautious wealth management. My role is to act as first point of contact for all compliance matters within the business, whilst helping to drive growth and develop an adaptive framework for supporting those growth plans.
• First point of contact for compliance advisory to the front office
• Conducted our FCA Business Risk Awareness meeting
• GABRIEL submissions for the firm
• KYC and AML for client onboarding
• Reviewed all marketing material and provided sign-off that material was compliant both with the FCA and our parent company
• Conducted an internal review of client contact, and created a system for continual testing to ensure FCA fair treatment requirements were being met
• Reviewed the BCP / Disaster Recovery plan and oversaw the modernisation of new IT systems, including the installation of a new server, new workstations and an increase in line bandwidth
• Moved critical systems to a cloud-based service
• providing operational advice and support to the founder of the business as required
• updated business operational procedures and templates
• overseeing workflow management throughout the team
• developing and maintaining relationships to help sustain business flow
• ensuring all business is conducted in a responsible and compliant manner, and meeting all legislative requirements
• responsibility for data protection
• First point of contact for compliance advisory to the front office
• Conducted our FCA Business Risk Awareness meeting
• GABRIEL submissions for the firm
• KYC and AML for client onboarding
• Reviewed all marketing material and provided sign-off that material was compliant both with the FCA and our parent company
• Conducted an internal review of client contact, and created a system for continual testing to ensure FCA fair treatment requirements were being met
• Reviewed the BCP / Disaster Recovery plan and oversaw the modernisation of new IT systems, including the installation of a new server, new workstations and an increase in line bandwidth
• Moved critical systems to a cloud-based service
• providing operational advice and support to the founder of the business as required
• updated business operational procedures and templates
• overseeing workflow management throughout the team
• developing and maintaining relationships to help sustain business flow
• ensuring all business is conducted in a responsible and compliant manner, and meeting all legislative requirements
• responsibility for data protection
Data protection, Founder, Framework, KYC, Server, Office, Testing, Support, Growth, Marketing, Workflow, It, Compliance, Service, Onboarding, Management, Consulting, Cloud
2010 - 2013
job
Compliance Manager
ITSO Limited.
ITSO is a payments technology company which holds the national specification for interoperable smartcard media, similar to the Oyster technology used in London. During this period the organisation underwent many changes including the co-location of its offices to a new "hub" in Milton Keynes, and a substantial increase in the volume of payments using its technology.
• Implement and monitor compliance with the ITSO specification and testing certification amongst all relevant stakeholders, working with stakeholders to resolve issues as needed
• Ensure that governance is addressed as a business issue across the ITSO community
• Provide monitoring and detailed reporting of all related activities within the compliance remit
• Responsible for the production of the annual Compliance Report
• Responsible for carrying out ITSO's incident response, audits and investigations
• Responsible for measuring scheme compliance and highlighting areas of non-compliance with appropriate guidance
• Responsible for maintaining a record of compliance events
• Assess new certifications with follow-up plans
• Work with stakeholders on solutions implementation
• Provide guidance to ITSO stakeholders about compliance with the ITSO certification
• Monthly reporting to the Board
• Also let on several tender processes for new telephony and IT providers as part of the office move
• Business champion for the implementation of a new CRM and Finance package.
• Ensuring internal policies (e.g. health and safety) exceeded legislative requirements are were appropriately distributed to staff
• Redrafting the company expenses policy to reflect additional staff members and layers of management, in line with the new business systems we had in place.
• Drafting and implementing a counter-fraud, bribery and whistle-blowing policy in line with good governance practice and compliance requirements.
• Overall responsibility for other internal company policies.
Special projects:-
• Hungary delegation - in Q4 2010, I led on arrangements to take a number of ITSO-certified suppliers on a trade delegation to Hungary, on a business opportunity that had been identified by UK Trade and Industry in Budapest. As part of this project I spent four days in Hungary, liaised with the British Ambassador and Head of T&I in making arrangements for our suppliers to meet with a number of transport operators in Hungary.
• Implement and monitor compliance with the ITSO specification and testing certification amongst all relevant stakeholders, working with stakeholders to resolve issues as needed
• Ensure that governance is addressed as a business issue across the ITSO community
• Provide monitoring and detailed reporting of all related activities within the compliance remit
• Responsible for the production of the annual Compliance Report
• Responsible for carrying out ITSO's incident response, audits and investigations
• Responsible for measuring scheme compliance and highlighting areas of non-compliance with appropriate guidance
• Responsible for maintaining a record of compliance events
• Assess new certifications with follow-up plans
• Work with stakeholders on solutions implementation
• Provide guidance to ITSO stakeholders about compliance with the ITSO certification
• Monthly reporting to the Board
• Also let on several tender processes for new telephony and IT providers as part of the office move
• Business champion for the implementation of a new CRM and Finance package.
• Ensuring internal policies (e.g. health and safety) exceeded legislative requirements are were appropriately distributed to staff
• Redrafting the company expenses policy to reflect additional staff members and layers of management, in line with the new business systems we had in place.
• Drafting and implementing a counter-fraud, bribery and whistle-blowing policy in line with good governance practice and compliance requirements.
• Overall responsibility for other internal company policies.
Special projects:-
• Hungary delegation - in Q4 2010, I led on arrangements to take a number of ITSO-certified suppliers on a trade delegation to Hungary, on a business opportunity that had been identified by UK Trade and Industry in Budapest. As part of this project I spent four days in Hungary, liaised with the British Ambassador and Head of T&I in making arrangements for our suppliers to meet with a number of transport operators in Hungary.
Community, LED, UP, Processes, Manager, Production, Organization, Safety, Office, Health, CRM, Testing, Monitoring, Implementation, It, Compliance, Technology, Finance, Management
2009 - 2010
job
plus secondment
Ministry of Justice.
to Private Office
This Ministry of Justice was formed in 2007, bringing together the Department of Constitutional Affairs, Prisons, Probation and Court Services. It has a remit to provide a joined-up justice system, streamlining services and providing an end-to-end service.
This Ministry of Justice was formed in 2007, bringing together the Department of Constitutional Affairs, Prisons, Probation and Court Services. It has a remit to provide a joined-up justice system, streamlining services and providing an end-to-end service.
Service, It, Office, UP
2008 - 2008
job
Commercial Team Co-ordinator
Aquascutum.
Aquascutum are a British clothing brand with a flagship store on Regent Street and Head Offices in Piccadilly Circus. Their Commercial team is responsible for manufacturing, analysis of sales trends and responding accordingly, and held the budget for merchandising, marketing and performance.
Marketing, Budget, Sales
My education
Southampton University
N/a, Business Studies and Law
N/a, Business Studies and Law
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