1. What is your background?
In my early career, I began working in the life and pension sector before moving into asset management, working across both retail and institutional sectors. My experience in regulation and compliance led to me joining the Financial Services Authority where I worked for eight years in both thematic and firm-facing supervision directly supervising asset and wealth manager platforms, pension providers and outsourcing firms, conducting numerous risk assessments and thematic reviews in various sectors.
From there, I moved into consulting operating as an FCA skilled person before joining Alpha FMC as Head of Regulation and Compliance to drive the development and expansion of the practice.
2. What are the type of projects your practice undertakes?
We support our clients across the entire regulatory landscape, helping asset and wealth managers deliver regulatory change, meet the regulators’ developing expectations and their own business standards across all areas of the business.
Our Subject Matter Experts (SMEs) have worked on projects across all major regulations including MIFID II, AIFMD, SM&CR and GDPR. We provide firms with practical support, independent assessments of governance and operational effectiveness through to reviewing risk management processes and compliance effectiveness.
We support clients throughout their journey in regulatory change from readiness assessment through to implementation. We also help our clients stay ahead of emerging regulations such as SM&CR and help them understand how they can use technology and sector best practice to achieve efficiencies and prepare compliance for the future.
3. How do you plan to continue the expansion of the Compliance Practice?
One of the key areas we expect to see growth from is through the expanding network of asset managers getting to know the Alpha Compliance Practice who already value Alpha’s people and approach, which includes over 80% of the top 25 global asset managers.
In addition to our existing relationships and reputation, we also continue to grow as we meet new clients through communication to the industry via our regulatory round tables and information digests, as well as developing new and better services to help clients reduce risks and improve efficiency.
4. What has been your favourite moment at Alpha so far?
A major client we had already supported across different Alpha practices, called personally to ask if Alpha could help with a new regulatory challenge because they trusted our team of consultants the most. The client had not approached any other consultancies and chose to consider Alpha first based on the reputation the team had deservedly developed.
5. Why should someone want to join your practice?
I think the opportunity to be part of a team that supports clients with some of their most important challenges, helping shape their future and therefore the wider industry, is what makes being a consultant within Alpha and our practice exciting. With the regulator’s expectation of asset managers greater than ever, our consultants can expect to work at the forefront of the industry, delivering solutions to clients across multiple geographies and specialisms. This, combined with the fact that so many of our projects are of strategic long-term importance to our clients, means Alpha consultants are not only provided with varied experience but gain extensive exposure to senior stakeholders.