Profile Summary
Experienced UK-based compliance consultant with a background at the Financial Conduct Authority (FCA) and advisory support for alternative investment funds, hedge funds, and private equity structures. Specialist in FCA authorisations (Part 4A), SMCR frameworks, ICARA/IFPR, and global marketing compliance including financial promotions. Known for delivering practical, investor-aligned compliance solutions with strategic foresight.
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Key Services Offered
• FCA Authorisation Support (including MIFIDPRU, SMCR, ICARA)
• Global Financial Promotions & Distribution Compliance (UK, EU, Asia)
• Fund Structuring: Hedge, PE, and Emerging Managers
• Governance Frameworks & Compliance Culture Reviews
• Interim CCO or second-line advisory for scale-ups or regulated firms
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Experience Highlights
• Regulatory Associate at the FCA: Supervision of investment firms, review of ICARA plans, due diligence on regulatory applications
• Strategic advisory to high-growth fund managers during launch and fundraising phases
• Regulatory structuring advice for a UK-domiciled investment platform with PE and VC mandates
• Developed scalable monitoring programmes for funds across CSSF, FCA, and SEC jurisdictions
