Advisor

Experience

Mark is an experienced compliance officer who understands what it means to implement regulations in practice. With a background in asset management and corporate finance, Mark works primarily with our clients in the Private Equity and Venture Capital space. He provides a range of technical advice and support to clients on a variety of topics including capital requirements, FCA authorisations, safeguarding of client assets and MiFID II.

Examples of Recent Work

  • Leading a Variation of Permission project to transition a firm’s prudential categorisation from Exempt CAD to IFPRU 50K
  • Drafting and implementing a new ICAAP
  • Reviewing and updating a Compliance Maintenance Plan (CMP) and Training and Competence framework
  • Building and maintaining a new regulatory reporting framework

Qualifications and Career

  • BWB Compliance: Compliance Consultant, 2017
  • Lesmoir-Gordon, Boyle & Co. Limited, Director of Finance and Operations (CF10), 2009-2017
  • Platinum Capital Management Limited, Senior Analyst, 2005-2007
  • Inventive Capital LLP, Junior Partner, 2005-2007
  • London Business School, MBA 2003-2005
  • Alkermes, Inc., Lead Development Engineer, 1999-2003
  • Purdue University, BS Mechanical Engineering, 1994-1999

Before joining BWB Compliance, Mark was at a specialist investment manager and corporate finance firm based in London. Prior to this he was senior analyst at Platinum Capital Management, a fund of hedge funds. He holds an MBA from London Business School.

Pro Bono, Memberships and Appointments

  • UK Society of Investment Professionals (UKSIP) Investment Management Certificate (IMC), 2015
  • Chartered Institute of Management Accountants (CIMA) Chartered Global Management Accounting qualification (Management Level), 2005