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.
Sue’s experience within the financial services industry includes working with and advising Wealth Management Investment Platforms in the UK, Dubai and Jersey, Advice networks and Appointed Reps, IFA’s, Asset Managers and AIFM’s, Payment Services Firms, Real Estate, Investment advisors/arrangers with general compliance advice, suitability reviews and assistance on all aspects of financial services regulation and compliance projects.
Her expertise includes assisting Firms with their FCA authorisation and approvals, Variation of Permissions, Change of Control applications, Compliance, Financial Crime and Data Protection Frameworks, 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. Sue’s experience of acting an in-house compliance specialist provides a practicable and valuable oversight for clients and includes understanding what is best practice on a local and international level.