Senior Adviser

Experience

Dena is an experienced financial services senior executive. As well as a wealth of regulatory consultancy experience, she has worked in asset management, crowdfunding and peer-to-peer lending, holding Compliance Officer, MLRO, Client Money and Finance Director roles.

Dena manages many of our ongoing retainer relationships and compliance projects. Her approach is technically expert but also pragmatic and commercial. The range of topics she advises on spans client money, capital requirements, ICAAPs, consumer credit, payment services and much more.

Examples of Recent Work

  • Advising a credit union on their capital requirements
  • Delivering compliance training to a consumer credit firm
  • Leading a full, successful P2P authorisation application
  • Undertaking a compliance healthcheck for a full scope fund manager
  • Managing the implementation of a CASS framework
  • Creating a risk framework for an investment firm
  • Drafting and implementing an ICAAP at a fund management firm

Qualifications and Career

  • Finance Director and Compliance Officer, MoneyThing Ltd, 2017 -2018
  • Compliance Consultant, Bovill Ltd 2015 – 2017
  • Finance Director and Head of Compliance, CrowdShed Ltd, 2014 - 2015
  • Chief Operating Officer, New World Investments, 2013 - 2014
  • Finance Director, Octopus Investments Ltd, 2010 - 2013
  • Financial Controller, Polar Capital Partners Ltd, 2004 – 2010
  • Manchester Metropolitan University
  • BSc Hons Hotel and Catering Management, 1st Class
  • ICAEW Chartered Accountant
  • CISI Diploma in Investment Compliance
  • EISA EIS Diploma

Pro Bono, Memberships and Appointments

  • Member of CISI and ICAEW