Adviser

Experience

Anna is an experienced regulatory professional with a strong background in consumer behaviour, competition and market analysis. Anna has a detailed understanding of the regulatory landscape as well as the processes and priorities of the FCA. She supports a range of financial services clients at BWB with their compliance needs including authorisations, compliance monitoring, training, and implementation of regulatory change

Examples of Recent Work

  • Reviewing financial promotions for new product launch including Information Memorandum and supporting campaign material
  • Advising on appropriateness requirements for non-advised sales of financial products
  • Leading a documentation review of a financial advisory business
  • Advising on the impact of PSD2 on businesses and presenting solutions to firms considering expanding into payment services.
  • Providing support to a firm applying to use a restricted word in their trading name
  • Providing analysis and advice to a fund manager on GDPR implantation.
  • Analysing applicability of MiFID II product governance rules to crowdfunding platforms
  • Guiding a peer-to-peer lending firm firm through the FCA authorisation process
  • Drafting compliance policies and procedures for an asset manager
  • Undertaking regulatory due diligence for a client intending to acquire an FCA regulated

Prior to joining BWB Compliance

  • Senior Associate on the Ageing Population project leading on internal and external engagement, consumer and firm behaviour examination, product design and delivery strategy assessments and research agency management. I helped draft and edit the final Ageing Population Project Occasional Paper, published September 2017
  • Mortgages Call for Inputs – analysis on competition in the mortgages market, with a focus on price comparison websites, product design, behavioural economics, developing theories of harm and market analysis
  • Retirement Income Market Study / Retirement Outcomes Review – project manager responsible for delivering multiple cross-office projects including the Competition Division’s market study. Analysis on competition within the retirement income market, product development and delivery. Lead on stakeholder engagement and managing communications internally and externally.

Qualifications and Career

  • CISI Diploma in Investment Compliance (pending)
  • BWB Compliance: Compliance Consultant 2017
  • Financial Conduct Authority: 2016 – 2017 – Senior Associate, Ageing Population Project
  • Financial Conduct Authority: 2014 – 2016 – Associate, Competition Division
  • Office of Fair Trading / Competition and Markets Authority: 2011 – 2014, Analyst (HEO), Services, Infrastructure and Public Markets
  • Office of Fair Trading: Project/Director Support Officer – 2011
  • Office of Fair Trading: Consumer Credit Licensing Officer – 2009 – 2011
  • EU Competition Law (PGDip), Kings College London, 2012 – 2013
  • Legal Practice Course (PGDip), University of Wales, Swansea, 2008 – 2009
  • Law LLB, Sheffield Hallam University, 2003 - 2007

Pro Bono, Memberships and Appointments

  • Treasurer for Waltham Forest Vegans Market – 2018 - present
  • Volunteer at Crisis at Christmas 2016
  • Pro-bono advisor at Brixton Advice Centre 2012-2014