Peter began his career in the City working for the Bank of England in Foreign Exchange. He left the bank to join Chase Manhattan and subsequently Sumitomo Trust where he ran the Treasury and FX desks. He joined Fimat in 2001 to run the Derivatives Product Desk greatly enjoying the variety of products traded. This led to 10 years of building and running successful FX, Fixed Income and Derivative businesses where he further developed his operational, trading and compliance knowledge. It was a natural progression to move into consultancy. Having been CEO and Compliance Director of multi product businesses and with a strong understanding of efficient operations, compliance and systems Peter is able to provide clients with deep and broad assistance.
A highly experienced financial professional with senior management and board experience, Thomas bring us a wide-ranging skill set including in-depth knowledge of risk and capital markets. Following his career holding senior risk positions for major brokerages and asset managers, Thomas took the opportunity to move consultancy and over the last 5 years has helped clients understand and mitigate their risks.
A graduate of the University of Cambridge & having had a successful career as an investment banker & trader, Mark has built a global reputation as a consultant and ‘trouble-shooter’ for businesses, particularly those with Anti-Money Laundering, Financial Crime & Compliance. Mark is comfortable with all participants, from Board level to new hires and has lived & worked in India, Russia, London, Qatar and many other countries, being finely attuned to global regulations and different cultural attitudes to AML/FCC.
Mark has worked with Governments and quasi-Governmental institutions worldwide as well as some of the world’s leading financial institutions – his ability to explain complex topics in a relevant and enjoyable way has made him the AML trainer of choice for many financial institutions. Mark provides our clients with first class training in all aspects of current and future regulation.
James is an advisor to Seven Compliance. He has been working in finance since 1987 and has a strong understanding of both the wealth and fund management sectors. He is a Partner at Thornbridge which specialises in all aspects of risk and process monitoring of appointed representative firms. James brings this knowledge to Seven and advises clients on appropriate courses of action in the regulatory space. James was a partner at Cazenove and a managing director at JP Morgan Asset Management.
Patrick is an advisor to Seven Compliance. He has a wealth of experience in all aspects of fund regulation specialising in fund structuring, Part IV FCA applications and outsourcing FCA services to independent firms & individuals. He is a Partner at Thornbridge which specialises in all aspects of risk and process monitoring of appointed representative firms. Patrick brings this knowledge to Seven and advises clients on appropriate courses of action in the regulatory space. Patrick obtained a BSc. from Bristol University in 1984.
Alex graduated in 2018 from Exeter University with a Second Class (Division 1) Honours in French and Italian and has completed the CISI Level 4 Certificate in Investment Management. She has been working in compliance since 2018.