Regulatory Analyst

Experience

Abigail works on a range of our projects, from helping new firms to secure FCA authorisation through reviewing the compliance of established firms. She also keeps the BWB Compliance team up to date the regulatory developments coming up in the UK, Europe and beyond.

Prior to joining BWB, Abigail was a Compliance Analyst at the Bank of England working within the Markets and Banking Directorates. Prior to that, she worked within the compliance team at a prime brokerage firm, dealing with clients such as hedge funds, UCITS, wealth managers and AIFs. She also worked within the Authorisations division at the FCA and was involved in work regarding the Senior Managers & Certification Regime (SM&CR) for dual-regulated firms.

Examples of Recent Work

  • Creating a compliance manual for a Venture Capital firm
  • Preparing an FCA application for a crowdfunding platform
  • Conducting a Compliance Healthcheck on an financial advisory firm
  • Reviewing financial promotions for an alternative finance asset manager
  • Scanning regulatory horizon and ghost writing
  • Supported on regulatory projects relating to PRIIPS and financial promotions

Qualifications and Career

  • CISI Investment Compliance Diploma (In Progress)
  • Compliance Analyst at Bank of England, 2017
  • Compliance Associate at GPP, 2016
  • Associate at FCA, 2015
  • Graduate Analyst at Deloitte, 2014
  • University of Southampton Law LLB, 2014

Pro Bono, Memberships and Appointments

  • Volunteered as an ambassador for Haven House Charity