Clare Curtis is the founder of Effecta Compliance. She brings to this role over 20 years of Compliance experience from UK and Middle East Investment Banks, Asset Managers, Corporate Finance, Broker Dealers and Exchanges including the London Stock Exchange and the Dubai Mercantile Exchange.
Jonathan is an Executive Director at Effecta Compliance and brings over 20+ years of UK compliance and regulatory experience having work both in-house at regulated firms and on the LIFFE exchange as well as an external advisor and in-house compliance specialist within the UK and Hong Kong Financial Services industry.
Jade Ashpole is the Managing Director of Effecta Compliance Middle East. Jade has over a decade of compliance experience from working in financial institutions in the UK and UAE. She has been based in Dubai since 2016. Having an in-depth understanding of the businesses that she works with, Jade has translated complex regulatory requirements and advised financial institutions on their financial permissions, business plans and compliance documentation.
Clemmie is a Director at Effecta Compliance and brings 15 years of UK compliance and regulatory experience, with a specific focus working in-house for global brokerage firms. Clemmie has experience working with a wide range of asset classes including FX, Money Markets, Credit, Equities and Rates and has been heavily involved in advising companies on their MiFID II requirements and the impact of Brexit to their businesses.
Charlene has over 15 years experience within Compliance. 13 years were spent within a large Global International Bank and more recently Charlene is the registered Money Laundering Reporting Office and Compliance Officer for an Institutional Brokerage.
Rod is a Special Advisor to Effecta Compliance and brings over 25+ years of finance, governance, risk and compliance, and regulatory experience having worked in the Financial Services Industry across sectors such as Institutional Broking, Retail Broking, Pension Funds, Corporate Finance and Retail Banking.
Sue Smith is a Senior Compliance Consultant at Effecta Compliance and brings over 20+ years of UK compliance and regulatory experience having worked both in-house at regulated firms as the Compliance Oversight Officer (SMF16), MLRO (SMF17) and Data Protection Officer and now providing external advice and interim compliance support to various regulated firms.
Sam is a Consultant at Effecta Compliance and has worked in-house at UK regulated firms with a specific focus on brokerage including FX and CFD’s. Sam has worked with several firms assisting them to establish and then to manage their Compliance and AML programmes.
Thomas is a Consultant at Effecta Compliance and has worked both in-house and as a Consultant covering UK business subject to FCA regulations as well as firms established in the UAE who are regulated by DFSA, FSRA as well as the SCA.