Lisa has extensive experience in the Jersey finance Industry, predominantly in the funds and investment management sectors, including working historically in banking and trust. For the past 20 years Lisa has worked within compliance functions, including holding Key Person roles (Compliance Officer, MLRO & MLCO). Lisa has recently moved from an investment management company which also held fund-specific licences, and prior to this was Head of Client Compliance for a local fund administration company. Before that, Lisa held both Deputy Head and Head of Compliance roles within the investment management sector.
Lisa is very interested in the interaction between “corporate” compliance and client compliance and attaches a great deal of importance to understanding the client’s requirements, thus ensuring that regulatory compliance is maintained. Her career to date has given her experience with development of compliance policies and procedures, managing relationships with the Regulator, including onsite examinations, delivering compliance monitoring plans, and of course attendance at Board meetings (both client and legal entity).
Lisa is an associate of the Chartered Institute of Securities and Investments, holds the Investment Advice Certificate and is a member of the International Compliance Association, holding the International Diploma in Anti Money Laundering.