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. Sam provides support to Effecta clients to meet their regulatory responsibilities including developing monitoring programmes to minimise regulatory risks to the business, establish control frameworks through pragmatic documentation and assist clients in regulatory applications when changes occur.
Sam has had invaluable experience liaising with the FCA and assisting with the set up, running as well as the winding down of firms all of which has enabled him to better understand the FCA’s approach to firm supervision and communications. Sam also has experience with advising clients on new regulatory requirements and assisting in implementation projects including a wide variety of topics from data protection to Brexit equivalence and determining how to tailor a firms controls to allow the firm to continue to facilitate business with the minimum amount of disruption while complying with these new requirements. This expertise as an in-house Compliance specialist ensures he has a practical approach to what can be achieved and is able to work hand in hand with the business to incorporate Compliance solutions.
Before joining Effecta, Sam was working at Swissquote, a Swiss banking group, within the Legal and Compliance team for their UK office. Before this, he spent time working at an independent brokerage house and in the property industry. He has passed the CIPP qualification with IAPP and the UK Financial Regulation qualification with CISI.