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jobs
Regulatory & Legal Consultant
Jonathan Giannasi
,
Kensal Rise, United Kingdom
Experience
Other titles
Skills
I'm offering
Hi There,
I am compliance/regulatory & legal consultant with expertise across a broad range off issues and projects.
Having worked in various big firms in financial services across multiple jurisdictions and financial products, I can advise and find solutions to various issues or projects you need guidance on.
I am a commercially focused person who enjoys making sure a business or person can drive there projects in the most beneficial way, whilst at the same time, making sure they are compliant on various regulatory or legal matters.
Using my expertise, I will provide assurance/knowledge and solutions to best practice to solve and advise across multiple jurisdictions and industries.
I am a problem solver who likes to focus on added value and support to whatever your issue may be.
I am compliance/regulatory & legal consultant with expertise across a broad range off issues and projects.
Having worked in various big firms in financial services across multiple jurisdictions and financial products, I can advise and find solutions to various issues or projects you need guidance on.
I am a commercially focused person who enjoys making sure a business or person can drive there projects in the most beneficial way, whilst at the same time, making sure they are compliant on various regulatory or legal matters.
Using my expertise, I will provide assurance/knowledge and solutions to best practice to solve and advise across multiple jurisdictions and industries.
I am a problem solver who likes to focus on added value and support to whatever your issue may be.
Markets
United Kingdom
Links for more
Once you have created a company account and a job, you can access the profiles links.
Industries
Language
English
Fluently
Ready for
Larger project
Ongoing relation / part-time
Full time contractor
Available
My experience
2020 - ?
job
Compliance Manager
GKFX Financial Services Limited.
GKFX is a Forex and CFD trading player in global online trading. It provides both private and institutional clients with cutting-edge services and platform that grants to deliver effective, multi-asset trading from a single account.
Achievements:
1) In charge of compliance monitoring- this includes best execution- Shortfall and Slippage, Best bid/ask, designing the parameters that these alerts are triggered on and implementation of new monitoring software's.
2) Oversight of regulatory reporting to FCA (Gabriel), RTS 27 & 28, Recovery Plans and ensuring ESMA transaction reporting has been carried out daily over the period of review.
3) Creating and presenting monthly MI reports to the board which includes all business conducted that is required to be reported on a monthly basis.
4) Knowledge of Tableau and SQL for data analysis purposes and World Check for KYC.
5) Review of outsourcing of operational functions on a periodical basis, making sure all outsource functions are being carried out to a satisfactory standard, using FCA guidance.
6) Working with the board conducting governance & product governance analysis's via stress testing to ensure the firms products operate effectively and are in the spirit of TCF FCA guidance.
7) Creating and drafting policies and procedures reviews and updating these taking into account legal and regulatory updates.
8) Has rolled out a company wide financial crime and general compliance training programme to all branches of the company including Madrid, Istanbul and Frankfurt.
9) Constant communication with all senior stakeholders to implement a company wide compliance culture that adheres to regulatory requirements.
10) Strong knowledge of all FCA regulations, MIFIID, SYSC, Conduct Rules, MAR, Legislation and GDPR.
11) In charge of compliant handling via Financial Ombudsman Service and any Data Subject Access Requests.
Achievements:
1) In charge of compliance monitoring- this includes best execution- Shortfall and Slippage, Best bid/ask, designing the parameters that these alerts are triggered on and implementation of new monitoring software's.
2) Oversight of regulatory reporting to FCA (Gabriel), RTS 27 & 28, Recovery Plans and ensuring ESMA transaction reporting has been carried out daily over the period of review.
3) Creating and presenting monthly MI reports to the board which includes all business conducted that is required to be reported on a monthly basis.
4) Knowledge of Tableau and SQL for data analysis purposes and World Check for KYC.
5) Review of outsourcing of operational functions on a periodical basis, making sure all outsource functions are being carried out to a satisfactory standard, using FCA guidance.
6) Working with the board conducting governance & product governance analysis's via stress testing to ensure the firms products operate effectively and are in the spirit of TCF FCA guidance.
7) Creating and drafting policies and procedures reviews and updating these taking into account legal and regulatory updates.
8) Has rolled out a company wide financial crime and general compliance training programme to all branches of the company including Madrid, Istanbul and Frankfurt.
9) Constant communication with all senior stakeholders to implement a company wide compliance culture that adheres to regulatory requirements.
10) Strong knowledge of all FCA regulations, MIFIID, SYSC, Conduct Rules, MAR, Legislation and GDPR.
11) In charge of compliant handling via Financial Ombudsman Service and any Data Subject Access Requests.
Implementation, Manager, KYC, Online, Risk analysis, Software, Testing, Regulatory, Monitoring, Cfd, Presenting, Sql, Outsourcing, It, Compliance, Service, Finance, Consulting, GDpr, Tableau, Training, Data Analysis
2019 - 2020
job
Consultant
Jonathan Giannasi Consulting Limited.
Jonathan Giannasi Consulting Limited- Compliance and Regulatory Advisory
October 2019- March 2020.
Project based work, implementation of various legislation and regulatory policies to firms across the financial services sector.
Achievements:
1) Reviewing and auditing surveillance software, identifying any deficiencies and implementing new controls and parameters using risk analysis and relevant regulatory policies in the relevant industry.
2) Updating and maintaining compliance manuals to identify and incorporate any relevant legislation that needs to be scoped into the document.
3) Main contact for the FCA. Managing and maintaining a strong relationship with the regulator.
4) Helping corporate finance houses prepare prospectuses/admission documents for public listings on AIM, NEX and standard list markets and adhering/implementing to any rule changes as appropriate.
6) Has submitted Long form A for CF10/11 (soon to be SMF 16/17), to undertake a firm's financial crime and compliance oversight responsibilities.
7) Conducting financial crime reviews including drafting a firm's Financial crime risk assessment approach and policy document, risk appetite framework, AML procedures and MAR policy document.
8) Project led implementation including GDPR, PRIPS and MifidII.
9) Helping principle firms monitor and maintain oversight over any appointed representative.
10) Understanding of financial promotions and selling of Financial instruments to all client categories.
October 2019- March 2020.
Project based work, implementation of various legislation and regulatory policies to firms across the financial services sector.
Achievements:
1) Reviewing and auditing surveillance software, identifying any deficiencies and implementing new controls and parameters using risk analysis and relevant regulatory policies in the relevant industry.
2) Updating and maintaining compliance manuals to identify and incorporate any relevant legislation that needs to be scoped into the document.
3) Main contact for the FCA. Managing and maintaining a strong relationship with the regulator.
4) Helping corporate finance houses prepare prospectuses/admission documents for public listings on AIM, NEX and standard list markets and adhering/implementing to any rule changes as appropriate.
6) Has submitted Long form A for CF10/11 (soon to be SMF 16/17), to undertake a firm's financial crime and compliance oversight responsibilities.
7) Conducting financial crime reviews including drafting a firm's Financial crime risk assessment approach and policy document, risk appetite framework, AML procedures and MAR policy document.
8) Project led implementation including GDPR, PRIPS and MifidII.
9) Helping principle firms monitor and maintain oversight over any appointed representative.
10) Understanding of financial promotions and selling of Financial instruments to all client categories.
GDpr, Compliance, Implementation, Assessment, Framework
2017 - 2019
job
Regulatory & Surveillance Manager
CME.
Achievements:
1) Responsible for MIFID II implementation across the Exchange. Identifying areas around pre and post trade transparency changes.
2) Excellent FCA knowledge due to the firms recognised Investment exchange status.
3) Market surveillance training and reporting experience having been exposed to alert notifications and contact with FCA over market activity.
4) Responsible for ensuring all associated corporate finance advisers are compliant in adhering to NEX Exchange rules and FCA regulations.
5) Reporting experience to FCA, having to update them on matters concerning Corporate finance advisers and status of the firms activity.
6) GDPR Implementation project experience- dealing with SARs, knowledge of Article 28 and providing a risk based approach to implementation.
1) Responsible for MIFID II implementation across the Exchange. Identifying areas around pre and post trade transparency changes.
2) Excellent FCA knowledge due to the firms recognised Investment exchange status.
3) Market surveillance training and reporting experience having been exposed to alert notifications and contact with FCA over market activity.
4) Responsible for ensuring all associated corporate finance advisers are compliant in adhering to NEX Exchange rules and FCA regulations.
5) Reporting experience to FCA, having to update them on matters concerning Corporate finance advisers and status of the firms activity.
6) GDPR Implementation project experience- dealing with SARs, knowledge of Article 28 and providing a risk based approach to implementation.
Exchange, Training, GDpr, Finance, Implementation, Regulatory, MiFID
2016 - 2017
job
Internal Audit Associate
World First.
World First is the UK's fastest growing, multi-award winning, foreign exchange specialist, offering individuals and businesses access to world class products and customer service.
Achievements:
1) Delivery of internal audit assignments from planning to reporting on a wide range of business process's dealing with the various FX, trading and payment methods (current audits include on boarding of clients/suitability and partnership tagging).
2) Understanding of MI and reporting to stakeholders.
3) Experience of process mapping in order to understand complex business procedures and controls in order to identify risk or deficiency.
4) FCA knowledge due to foreign exchange companies being a heavily regulated industry.
5) Understanding of the risk universe in order to map priority level risks to Internal audit projects.
6) Strong consulting skills and stakeholder management in order to conduct audits as smoothly as possible.
Achievements:
1) Delivery of internal audit assignments from planning to reporting on a wide range of business process's dealing with the various FX, trading and payment methods (current audits include on boarding of clients/suitability and partnership tagging).
2) Understanding of MI and reporting to stakeholders.
3) Experience of process mapping in order to understand complex business procedures and controls in order to identify risk or deficiency.
4) FCA knowledge due to foreign exchange companies being a heavily regulated industry.
5) Understanding of the risk universe in order to map priority level risks to Internal audit projects.
6) Strong consulting skills and stakeholder management in order to conduct audits as smoothly as possible.
Audit, Exchange, Stakeholder Management, Customer service, Management, Consulting, Service, Process Mapping, Audit, Business procedures, Winning
2015 - 2016
job
Risk/Core Assurance Associate
PwC.
As market leaders PwC provides assurance services to over 38% of the FTSE 100. Having worked with several market leaders over a variety of industries, I have provided risk, internal audit and treasury assurance to provide the highest quality accounting and strategy advice possible.
Achievements:
1) Started ACA qualification.
2) Provided technical knowledge of UK GAAP/ IFRS and familiarity with financial statements accounting principles and treatments.
3) Provided technical treasury delivery on derivatives, fair value swaps, FX movements and debt analysis.
4) Worked on providing core assurance for FTSE 100 companies for release of financial statements to stakeholders.
5) Natural affinity with clients due extensive client site visits.
6) Strong risk analysis having provided extensive SOX controls testing on a variety of accounting mechanisms.
7) Key point of contact to review contracts for deliverables and accounting disclosures.
Achievements:
1) Started ACA qualification.
2) Provided technical knowledge of UK GAAP/ IFRS and familiarity with financial statements accounting principles and treatments.
3) Provided technical treasury delivery on derivatives, fair value swaps, FX movements and debt analysis.
4) Worked on providing core assurance for FTSE 100 companies for release of financial statements to stakeholders.
5) Natural affinity with clients due extensive client site visits.
6) Strong risk analysis having provided extensive SOX controls testing on a variety of accounting mechanisms.
7) Key point of contact to review contracts for deliverables and accounting disclosures.
Contracts, Audit, Natural, Testing, Risk analysis, Audit, Treasury, Contracts
2014 - 2015
job
Litigator
Slater and Gordon.
2014 - 2014
job
Paralegal/Executive
RobertsJackson Solicitors.
Paralegal
2013 - 2014
job
Qualified Advisor
Free Representation Unit.
Qualified FRU volunteer - Given my own cases, which I had to see through the litigation process. Dealt with claims ranging from contract disputes, unfair dismissal, workers pay disputes and wrongful dismissal from breach of contract. This gave me significant experience in reviewing employment contracts to then draft legal arguments for court.
Citizens Advice Bureau- Qualified Advisor- Gave advice on all areas of law that clients had issues with ranging from contract disputes to housing law. Allowed for significant client contact and advice.
2013-2014: Mini Pupillages- Terra Firma Chambers (Scotland), Trinity Chambers, Zenith Chambers, Outer Temple Chambers, Dere Street Chambers, Sovereign Chambers, St. Phillips Chambers. This gave me real insight into the day-to-day responsibilities and demands a barrister undertakes.
Citizens Advice Bureau- Qualified Advisor- Gave advice on all areas of law that clients had issues with ranging from contract disputes to housing law. Allowed for significant client contact and advice.
2013-2014: Mini Pupillages- Terra Firma Chambers (Scotland), Trinity Chambers, Zenith Chambers, Outer Temple Chambers, Dere Street Chambers, Sovereign Chambers, St. Phillips Chambers. This gave me real insight into the day-to-day responsibilities and demands a barrister undertakes.
Contracts, Contracts, ME
My education
2020
University of Manchester
ICA Advanced Certificate, Regulatory Compliance
ICA Advanced Certificate, Regulatory Compliance
2012
-
2014
Northumbria University
Masters, Law
Masters, Law
2009
-
2012
Newcastle University
Bachelors, Politics
Bachelors, Politics
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