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.
Jonathan’s experience within the financial services industry includes working internationally with and advising Banks, Hedge Funds, Private Equity/Venture Capital firms, Real Estate & Infrastructure firms, Corporate Finance advisors and Investment advisors/arrangers with advice and assistance on all aspects of financial services regulation and compliance projects.
His expertise includes assisting Firms with their FCA authorisation and approvals, Variation of Permissions, Change of Control applications, general compliance support and regulatory advice, regular compliance monitoring, oversight & independent reviews including health checks, AML/KYC reviews, regulatory infrastructure reviews, in-house regulatory secondments, regulatory and compliance documentation production, ad hoc support and advice etc. Jonathan’s experience of acting as an external adviser and an in-house compliance specialist provides a useful and valuable oversight for clients and includes understanding what is best practice on a local and international level as well as what is practical and realistic for the Firm.
Prior to joining Effecta, Jonathan spent 4 years with Duff & Phelps, a global consulting firm, within their Compliance, Tax and Regulatory Consulting practice where he was a Director. Before this, he spent time as a Managing Director with Laven Partners, and was Director with Cordium UK & Cordium Asia (now part of the ACA group).
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