Pete works with clients on a number of regulatory areas including CASS, market abuse and best execution.
His previous role was in the compliance department of an Investment Platform where he supported the CASS oversight function. In this role, he completed CASS RP, policy and procedure reviews, and advising on CASS specific regulatory change. Pete worked with the firm to ensure it was prepared for the roll out of SM&CR. This included reviewing governance structures, identifying certified staff, and offering training on the scope and impact of the Conduct Rules.
As a result of an internal secondment at the same firm, Pete gained insight into AML requirements, policies and procedures, and relevant oversight. He was also heavily involved in various FCA driven requests for information – including the Investment Platform Market Study and all subsequent reports and consultations.
Pete has a BA (Hons) degree in History and holds the CISI Diploma in Investment Compliance, the CISI certificate in Client Money and Assets, and the CISI certificate in Investment Operations.
