Thomas is a Consultant at Effecta Compliance and has worked both in-house and as a Consultant covering UK business subject to FCA regulations as well as firms established in the UAE who are regulated by DFSA, FSRA as well as the SCA. During his 6 years working in Compliance Thomas has assisted many firms with monitoring their ongoing Compliance obligations across a wide range of different products, including; Equities, FX, Commodities, Bonds, Funds and research. Thomas has also worked with firms establishing Fintech offerings to assist them in understand the process to go through to move from an IT focused company to a regulated entity.
Thomas has had invaluable experience liaising with different international regulators including the UK FCA and the UAE DFSA. This international exposure has allowed Thomas to identify regulatory implications on firms at both a local and group level. Thomas has also been active in assisting starts ups in the UAE through involvement with the “sandbox”, Innovative Technology License all the way through to full regulation. He is experienced in advising clients on new regulatory requirements and assisting in implementation projects including a wide variety of topics from data protection, AML, systems and control and operational resilience with the minimum amount of disruption to clients while ensuring the Firm is complying with the new requirements. This expertise as an in-house Compliance specialist ensures Thomas 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, Thomas was working at Vistra Business Services, an International Business Service provider, within the Governance, Risk and Compliance team for their Dubai office which included holding the CO/MLRO function for several regulated entities. Before this, he spent time working at an Investment Bank in Dubai and has previously worked with brokerage firms in the UK. He has passed Global Financial Compliance qualification with CIS
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