Charlie provides general regulatory advice to wealth managers and banks. He is currently mainly helping clients with suitability and appropriateness. He advises on compliance monitoring issues, policies and procedures, and financial crime. He also drafts, reviews and submits applications to the FCA for clients.
He has a particular focus on financial crime, having recently worked on a number of AML projects. This includes supporting the independent monitor under a deferred prosecution agreement between the US Department of Justice and one of the world’s largest banks.
Charlie joined Bovill from an asset management company, where he worked as a research analyst, as well as in operations, gaining a broad understanding of the financial services industry and financial markets. He has also worked within the compliance department of a brokerage firm in London.
He has a BA (Hons.) in History from Newcastle University. He also holds the Investment Management Certificate (IMC) and the CISI Diploma in Investment Compliance (MCSI).