Redcliffe’s compliance training for securities & investments is delivered by an investment banking governance, audit, risk and compliance specialist with extensive international experience. He holds an MBA from the Bayes Business School (formerly Cass) in London and is a Chartered Certified Accountant.
He worked for Price Waterhouse in Kingston, Jamaica before arriving in London just after the Big Bang in 1986. Subsequently, he worked for several major institutions including Manufacturers Hanover Trust, Continental Bank, CIBC and ABN AMRO. His roles have included internal audit, product control, risk management and SOX.
In addition to gaining experience in the major global financial centres, the above roles covered all aspects of regulation, governance and internal controls over the origination, sales and trading of a broad range of investment banking and capital market products. These products include credit trading and credit derivatives; asset securitisation and structured finance; foreign exchange and foreign exchange options; interest rate derivatives; commodities and treasury.
He has also served as a business manager where he played a leading role in developing and implementing major strategic initiatives within global banking and markets. This was followed by the delivery of a training and cultural change programme in alignment with that strategy, across 50 countries.
This securities compliance training expert currently delivers financial crime compliance programmes for major banks (HSBC, Soc Gen, SMBC, RBS, Lloyds, Nordea and Handelsbanken) covering AML, Sanctions, Tax Evasion, Terrorist Financing Bribery & Corruption, as well as their related governance aspects. This delivery encompasses frontline staff and senior managers across global markets, as well as private, corporate and retail banking in the UK, Europe, Asia, Middle East, Africa, US and the Americas. Further to this. he was a Master Trainer on HSBC’s global financial crime training programme.
Based on his considerable experience in the financial markets, this trainer has developed specialist AML and Sanctions workshops in financial market products, securities and investments. He has also run train-the-trainer (TTT) courses and delivered presentations for US regulators.
In addition, he has delivered training programmes in Audit, Conduct Risk, Operational Risk, Treasury, Basel III, Liquidity Management, Capital Management and the Internal Capital Adequacy Assessment Process (ICAAP). He is also an Associate of RSM where he has conducted several financial crime and regulatory compliance reviews for their institutional clients.
Redcliffe’s compliance training for securities trainer is the author of three books including Clearing The Bull: The Financial Crisis And Why Banks Need A Human Transformation (2012 iUniverse).