David’s team provides expert financial crime prevention advisory and assurance services across the regulated sector. He has significant experience relating to independent assessments of the effectiveness of financial crime systems and controls within financial institutions. This has taken the form of being the Skilled Person for s166 reviews on behalf of the FCA, as well as a number of years supporting the Court appointed Corporate Compliance Monitor overseeing HSBC’s implementation of the US Department of Justice deferred prosecution agreement.
He has 13 years of experience gained across multiple sectors including banking, asset management, broking and spread betting. In addition he had 2 years within financial intelligence at NCIS/SOCA.
David spent 5 years at Russell Investments where he held the MLRO (CF11) role for the UK Investment Manager and Irish Funds. In addition he led the fieldwork of a financial crime thematic review on behalf of the FCA. This was while working as a Financial Crime Consultant for Deloitte LLP.
David provides in depth advice to clients across AML, Sanctions, Bribery & Corruption and Fraud. He is pragmatic in his approach and always looks to understand the business of his clients. Furthermore his regulatory knowledge spans multiple jurisdictions having performed on-site AML & Sanctions reviews in the US, Mexico, Brazil, Uruguay, Barbados, Australia, Singapore, Taiwan, Philippines, Malaysia, UAE and Ireland.
David holds ICA Graduate Diplomas in AML and Financial Crime Prevention.