Bio
A highly skilled professional with over 20 years of experience providing advisory services,strategic direction, and effective communication at the board level. I specialize in managingcomplex compliance frameworks, remediating Section 166 findings, and leading cross-functionalteams. Adept at handling multiple tasks in high-pressure environments, I excel in deliveringcomprehensive insights, enhancing decision-making, and fostering strong relationships acrossbusiness units. Skilled in various software tools, including Power BI, Microsoft Projects, and Jira, Ican translate raw data into visually impactful reports, improving operational clarity at all levels.
Career History
Senior Compliance Manager (Deputy Head of Compliance)
Alchemy Prime, London
Sept 2024 – Present (Permanent) | Reporting Line: MLRO
Overseeing the firm’s compliance with regulatory requirements, focusing on corporate and personal professional customers in the liquidity provision and brokerage sectors.
Ensuring alignment with FCA regulations and other international standards.
Acting as Deputy Head of Compliance, managing the department in the Head of Compliance's absence and providing guidance on complex regulatory issues. Developing, implementing, and maintaining the compliance program while ensuring full adherenceto FCA and international regulatory frameworks.
Identifying and mitigating compliance risks, with a focus on trading, liquidity provision, andfinancial crime. Drafting, reviewing, and updating compliance policies and procedures to reflect evolvingregulatory standards. Collaborating cross-functionally with Risk, Legal, and Operations departments across variousjurisdictions to streamline regulatory compliance and risk management efforts.
Risk Management Framework Coordinator (EMEA)
StoneX Financial Ltd,
London
Nov 2023 – June 2024
(Temporary) | Reporting Line: MLRO
Developed and implemented a comprehensive Risk Management Framework for EMEA, includingkey risk control taxonomy, gap identification, and control effectiveness monitoring.Presented risk analysis and findings to senior management using personalized dashboardscreated in Power BI.Assisted the MLRO with the annual EMEA report, as well as workload tracking tools for teamefficiency and task monitoring.Established an AML monitoring plan, reported findings, and suggested remediation actions.Completed a six-month RTS6 Algo Trading risk review, reporting findings to Senior Management.
Senior Compliance Development Manager
StoneX Financial Ltd,
London
Nov 2022 – Oct 2023
(Maternity Cover) | Reporting Line: Chief Compliance Officer (CCO)
Led regulatory and compliance project planning, including thematic reviews and data analysis forstrategic projects.Produced Management Information (MI) for Board Reports and Compliance Committees usingPower BI, focusing on creating time-based forecasts and reports.Conducted horizon scanning and audits to assess compliance risks and opportunities.Coordinated compliance projects across Retail, Wholesale, and Trade Surveillance Teams,providing updates and reports to stakeholders.
Group Compliance & Risk Manager
TRADING 212 U.K. Ltd (Retail FX/CFD Prime Brokerage),
London
Sep 2020 – Sep 2022
Permanent | Reporting Line: Group Head of Compliance
Executed MAR surveillance using EFlow to detect and escalate breaches.Developed and implemented the Compliance Monitoring Plan (CMP), completing thematicreviews on AML and financial crime areas.Provided monthly MI and reporting to the Risk & Compliance and Audit & Risk Committees.Designed and executed compliance training programs for UK and BG entities, utilizing online andface-to-face training methods.
Account Representative & Financial Advisor
ActivTrades Plc (Retail FX/CFD Prime Brokerage),
London
Feb 2018 – Sep 2020
Permanent | Reporting Line: Italian Desk Manager
Developed sales activities by introducing new products and services to clients. Acted as Team Lead for the Italian Desk, providing technical support to clients globally. Conducted KYC and rolling review activities for compliance investigations. Supported retail and professional clients in executing trades and navigating platform issues.
Group Controller
IPR Ltd (Lloyd’s Broker),
London
Sep 2016 – July 2017
Key Account Manager
Reale Mutua Assicurazioni,
Italy
Apr 2013 – Sep 2016
Senior Account Manager
Generali Assicurazioni,
Italy
Feb 2011 – Sep 2013
TraderIndependent Derivatives and Equities
Trader,
Italy
Mar 2010 – Feb 2011
Financial Advisor
FINECO Bank (Wealth Management/Bank),
Italy
Aug 2000 – Mar 2010
Professional Qualifications & Education
• ICA Diploma in Governance, Compliance & Risk (Level 6) - Feb 2024
• ICA Certificate in KYC and CDD
• CISI CF30 Qualified - UK Financial Regulation (ID SXS14120)
• CII Level 3 Certificate in General Insurance
• Qualified Financial Advisor, Italy
• Master’s Degree in Statistical Science, University of Bologna (Hons), Feb 2010
• Bachelor’s Degree in Statistical Science, University of Bologna, Jun 2006
•Language Skills
• English: Fluent (C2)
• German: Basic (A1)
• French: Basic (B1)
• Spanish: Basic (B1)
• Italian: Native
IT Systems & Tools Applications:
Power BI, Microsoft Projects, Jira, Visio, Eflow, Symbiant, Microsoft Office Suite,Trading Platforms:MetaTrader 4 & 5, Trading212, ActivTraderStatistical Tools:E-View, SPSS, R, Mat LabCRMs Systems:Salesforce, Complinet, Onfido