Charles is an experienced Compliance, Regulatory Risk and internal controls practitioner with over 25 years’ experience in the City. He has held many senior positions within Compliance at UK and European Tier 1 retail and investment banks. His roles included Head of Trade Surveillance and Monitoring as well as Desk Reviews (similar to Internal Audit) within Central Compliance where he provided detailed reports to senior management.
From 2014, Charles moved into regulatory risk implementation and advisory, using his extensive knowledge at a number of global organisations covering SM&CR, GDPR, MiFID II and Conduct Risk. Charles’ is a go-to consultant for Risk Framework design & documentation and has become a trusted advisor across both first and second line of defence functions.
He supported an SM&CR implementation project at a major stockbroker with a focus on the governance, accountability and cultural measures to ensure compliance with the important SMCR “no gaps” principle. This overview helped to define a methodology and process for assigning the correct responsibilities for the respective Senior Managers and Certified staff. Prior to this he was responsible for implementation of GDPR and MiFID II at the stockbroker and documentation of the entire Conduct Risk assessment and framework at a large European investment bank.
In his recent role he initiated and managed a Data Governance Project for a large European investment bank.
Charles has worked for BGC Partners, Barclays, Deutsche, HSBC, BNP Paribas and Societe Generale.