JADE ASHPOLE

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. In doing so, Jade has assisted numerous new firms looking to establish a presence in the region and those seeking to expand their business.

Jade is highly experienced in the DIFC and ADGM regulatory regimes and performs the Compliance Officer and MLRO functions for many financial institutions, including those specialising in asset management, private banking, fund management and corporate finance. Through her outsourcing roles, Jade has built strong relationships with the firms that she works with, often collaborating with global compliance, legal and risk departments to harmonise and oversee the local compliance frameworks.

With extensive compliance consultancy experience, Jade has partnered with many businesses to provide expert advice on compliance projects. Examples of recent projects include the creation of bespoke policies and procedures, marketing guidance on cross-border activity, detailed gap analysis reports, and delivering risk-based monitoring programmes and compliance assurance reviews. Jade’s exposure to a variety of local and international businesses means she has presented pragmatic compliance solutions based on regulatory requirements and industry best practice.

Prior to moving to Dubai, Jade was an in-house Compliance Manager and Deputy MLRO for a private bank in the UK, specialising in wealth management and discretionary investment management. Jade worked in the UK during the Financial Conduct Authority’s overhaul of the regulatory regimes for conduct risk, suitability, client assets and the senior managers and certification regime. She worked closely with senior management to adopt the new regulatory regimes and enhance the compliance framework.

Jade holds a first-class Law degree from the University of Westminster with and a Diploma in Investment Compliance from the Chartered Institute for Securities & Investment (CISI).