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.
Clemmie has extensive experience partnering with commercial management teams as a regulatory advisor and this has developed her ability and expertise in identifying tailored and pragmatic regulatory solutions to ensure businesses can continue to operate successfully within regulatory parameters. This in-house experience is fundamental to Clemmie’s commitment and love of working closely with business management to develop business strategies which are both compliant and commercially viable.
Clemmie has had invaluable experience liaising with Regulators globally, consulting with European, UK, US and Hong Kong regulators on proposed trade operating models, and assisting business to set up or wind down entities and trading venues in these jurisdictions. These interactions have provided Clemmie with a good insight into individual regulators approaches to supervision and their practical interpretations of regulation.
Clemmie’s regulatory expertise include Benchmark Regulation, the impact of Brexit on UK authorised firms, and MiFID II (including the operation and governance of trading venues [MTF’s & OTF’s]). Clemmie has vast experience conducting deep dives into business areas and trade flows and has completed numerous regulatory gap analyses, with experience of conducting due diligence reviews into companies for the purposes of potential acquisitions.
Prior to joining Effecta, Clemmie spent almost 6 years with TP ICAP plc, the largest global IDB, managing their UK Advisory Function. Before this, Clemmie spent time as Deputy Head of Compliance for Vantage Capital Markets LLP, a wholesale brokerage firm with offices in London, Hong Kong and Tokyo. Clemmie studied law at University and completed her Legal Practice Course prior to spending 3 years working for the Financial Ombudsman Service. Clemmie has passed both the CISI Financial Regulation and NFA Series 32 exams.
EFFECTA’S Essential Insights: A Regulatory Update
February 16, 2023
Welcome to EFFECTA’s Essential Insights, a quarterly newsletter aimed at providing its readers with succinct overviews...read more