3rd Annual European Compliance and Legal Conference | afme

3rd AnnualEuropean Compliance and Legal Conference

The future of regulation in a changing world

02 - 04 Oct 2019 The Westin Paris - Vendôme

Speakers

Keynote Speakers

  • Robert Ophèle

    Robert Ophèle

    Chairman, Autorité des Marchés Financiers (AMF)

    Robert Ophèle

    Robert Ophèle

    Chairman, Autorité des Marchés Financiers (AMF)

    Robert was appointed Chairman of the Autorité des Marchés Financiers on 1st August 2017. He graduated from the ESSEC business school and joined the Banque de France in 1981 where he would make the largest part of his professional career in banking supervision, developing and implementing monetary policy and bank’s financial management.

    Following a secondment to the Federal Reserve Bank of New York, he took up the position of Director of the Management Control and Budget Directorate, then was appointed Deputy Director General Economics and International Relations, before being promoted Director General Operations.

    Robert held the position of Second Deputy Governor of the Banque de France from January 2012 until July 2017; in this role he became a member of the Supervisory Board for the European Central Bank.

  • Steven Maijoor

    Steven Maijoor

    Chair, European Securities and Markets Authority (ESMA)

    Steven Maijoor

    Steven Maijoor

    Chair, European Securities and Markets Authority (ESMA)

    Steven has been the Chair of the European Securities and Markets Authority (ESMA) since taking up office 1 April 2011. He is the first chair of the authority and is currently serving his second five-year term. He is responsible for representing the Authority as well as chairing ESMA’s Board of Supervisors and the Management Board.

    Prior to taking up this role, Steven was Managing Director at the AFM, the Dutch financial markets regulator, where he was responsible for capital market supervision, including financial reporting and auditing, prospectuses, public offerings and the supervision of the integrity of financial markets. In his regulatory role at the AFM, Steven has held a number of international positions, including the Chairmanship of IFIAR (International Forum of Independent Audit Regulators).

    Before joining the regulatory world, Steven was the Dean of the School of Business and Economics at Maastricht University and had pursued a long career in academia which included a variety of positions at Maastricht University and the University of Southern California. He holds a PhD in Business Economics from Maastricht University, was a research student at the London School of Economics and has a master’s in business economics from the University of Groningen.

  • Elisabeth Roegele

    Elisabeth Roegele

    Chief Executive Director, Federal Financial Supervisory Authority (BaFin)

    Elisabeth Roegele

    Elisabeth Roegele

    Chief Executive Director, Federal Financial Supervisory Authority (BaFin)

    Elisabeth was appointed as Chief Executive Director of Securities Supervision at the Federal Financial Supervisory Authority (BaFin) in May 2015. Before that, she was General Counsel and Head of the Corporate Centre for legal affairs and taxes on products at DekaBank Deutsche Girozentrale and head of the division for ad hoc disclosure and directors dealings at BaFin.

    Before joining BaFin, Roegele was a member of the management board of the Stuttgart Stock Exchange and she also worked in the legal department of Bausparkasse Schwäbisch Hall and at the Exchange Supervisory Authority of the Hessian Ministry of Economics.

    She is a fully qualified lawyer and holds a Master’s degree in European and International Business Law from the University of St. Gallen in Switzerland. 
    As Member of the Executive Board of BaFin, Roegele is also a member of the Board of Supervisors of the European Securities and Markets Authority (ESMA) and of the Board of the International Organization of Securities Commissions (IOSCO).

  • Thomas Sexton

    Thomas Sexton

    President and CEO, National Futures Association (NFA)

    Thomas Sexton

    Thomas Sexton

    President and CEO, National Futures Association (NFA)

    Thomas W. Sexton III is President and Chief Executive Officer of National Futures Association. Mr. Sexton joined NFA in July 1991 and over the years held several legal positions with increasing responsibilities, including serving as NFA's General Counsel and Secretary from September 2001-February 2017. In his role as General Counsel, Thomas oversaw major regulatory initiatives impacting NFA's Member firms and various enforcement matters.

    Thomas holds a law degree from the University of Notre Dame Law School, an MBA degree from Loyola University Chicago and a Bachelor of Arts degree in Government from the University of Notre Dame. Thomas is a frequent panelist at industry conferences and seminars, where he speaks on topics pertaining to derivatives industry regulatory issues.

     

Speakers

  • Vivienne Artz

    Vivienne Artz

    President, Women in Banking and Finance

    Vivienne Artz

    Vivienne Artz

    President, Women in Banking and Finance

    Vivienne is President of Women in Banking and Finance, having been awarded the “Champion for Women” Award at the Women in Banking and Finance Awards for Achievement 2016. She has many years of experience leading a broad range of diversity initiatives and groups both within firms and across sectors.

    Vivienne is the Chief Privacy Officer at Refinitiv, leading the global Privacy Office and overseeing global privacy strategy and practice at Refinitiv, and previously Thomson Reuters. Previously, Vivienne was a Managing Director and Global Head of Privacy Legal and Head of International for the Intellectual Property and Technology Law Group in the General Counsel’s Office in London. Prior to joining Citi in 2000, Vivienne worked in private practice in London.

    She chairs the International Regulatory Strategy Group Data Working Group and is a Board Member of the IAPP (International Association of Privacy Professionals), having recently completed a term on the European Advisory Board of the IAPP. Until recently, Vivienne was the chair of the AFME Data Protection Working Group, engaged in the UK Finance Data Protection Working Group, and co-chair of the IAPP Knowledge Net for the United Kingdom.

  • Ollythia Bernard-Stewart

    Ollythia Bernard-Stewart

    Executive Director, Compliance and Operational Risk Control, UBS

    Ollythia Bernard-Stewart

    Ollythia Bernard-Stewart

    Executive Director, Compliance and Operational Risk Control, UBS

    Ollythia joined UBS Investment Bank Compliance and Operational Risk Control in January 2015 and spent the first year driving delivery of a change agenda within the Global FICC compliance team, including enhancements to controls, culture and behaviour in the first and second lines of defence. Since then, the focus of her work has shifted to oversight of regulatory change and structural reform, including Market Abuse Regulation, MiFID II, operational continuity and, most recently, working on UBS’s Brexit program.

    Her professional interests include governance, market conduct and behaviour. She has previously worked in compliance and regulatory risk roles at Barclays, Ernst & Young (including a secondment in the FCA Wholesale Enforcement Division), and Commonwealth Bank Global Markets. Ollythia is a member of the AFME and AFB Compliance Committees and has previously been a speaker/panel member on the topic of industry codes of conduct.

  • Mark Carawan

    Mark Carawan

    Chief Compliance Officer, Citigroup

    Mark Carawan

    Mark Carawan

    Chief Compliance Officer, Citigroup

    Mark Carawan is the Chief Compliance Officer for Citigroup. Mark is responsible for independent compliance risk management across Citi, reporting to the Citigroup CEO.

    Mark was formerly the Chief Auditor and Managing Director responsible for the Internal Audit (IA) Department. Reporting to the Citigroup Audit Committee Chairman, Mark was responsible for IA’s delivery of audit assurance on governance, risk management and control across Citigroup globally to the Board and Executive Management.
    Prior to joining Citi, Mark was the Chief Internal Auditor for Barclays Group where he led a major transformation of Barclays Internal Audit. Previously, Mark was Managing Partner responsible for Enterprise-wide Assurance to wholesale financial services institutions at Deloitte (UK), where he was engaged in various assignments involving risk management and internal control transformation, particularly as a result of regulatory requirements. Prior to joining Deloitte, Mark was Managing Partner for Andersen’s global Privatisation and Emerging Markets practice with responsibility for overseeing business activities in over fifty non-OECD countries, while also being the lead partner on a number of financial sector restructuring and individual bank rehabilitation assignments around the world.

    Mark began his professional career within the London Office of Andersen’s accountancy practice before moving into consultancy after qualification as a Chartered Accountant. Mark’s academic background includes a B.A. from Rutgers University in the USA and a Ph.D. from St. Andrews University in the UK. He has also received the CFIIA, CIA and QIAL qualifications. Mark is a member of the Board of Directors of the global Institute of Internal Auditors (IIA), is Chairman of the global IIA’s Financial Services Guidance Committee, is a member of the Board of Directors of the Greater New York Council of the Boy Scouts of America and of the Advisory Board of the New York University School of Law Program on Corporate Compliance and Enforcement.

  • Paul Clulow-Phillips

    Paul Clulow-Phillips

    Co- Global Head of Markets Compliance, Global Head of Surveillance, Societe Generale 

    Paul Clulow-Phillips

    Paul Clulow-Phillips

    Co- Global Head of Markets Compliance, Global Head of Surveillance, Societe Generale 

    Paul has led Societe Generale’s Global Surveillance program since 2016 and Co-heads the bank’s Global Markets Compliance function. In his Surveillance role, he is responsible for teams and projects encompassing trade and communications surveillance activities, tools and infrastructure at Investment Bank and Group level, along with the development of transformative technologies in the surveillance space.


    Paul has over 20 years of Compliance experience working for tier 1 Investment Banks including UBS and JP Morgan and has held senior and management roles across a range of Compliance disciplines including markets and banking advisory, risk assessment, and latterly surveillance, where he led programs of work at BNP Paribas and Barclays prior to his current role at Societe Generale

     

  • Molly Deere

    Molly Deere

    Vice President, Assistant General Counsel, Stephens Inc.

    Molly Deere

    Molly Deere

    Vice President, Assistant General Counsel, Stephens Inc.

    Molly serves as Assistant General Counsel for Stephens Inc., where she provides legal advice on general corporate and securities law matters. She primarily provides counsel to the firm’s research and institutional sales and trading departments regarding research-related rules and enforcement actions, as well as the impact of MiFID II.

    Prior to joining Stephens, Molly was an Associate for Donovan & Rainie, LLC, representing industry professionals in corporate and securities litigation and transactional matters.

    Molly received her Bachelor of Music in Vocal Performance from New York University, J.D. from the University of Baltimore School of Law, and LL.M. in Securities and Financial Regulation from Georgetown University Law Center. She serves as Co-Chair of the SIFMA Compliance & Legal Future Leaders Committee.

  • Jacqueline Joyston-Bechal

    Jacqueline Joyston-Bechal

    Head of Compliance EMEA, Bank of New York Mellon

    Jacqueline Joyston-Bechal

    Jacqueline Joyston-Bechal

    Head of Compliance EMEA, Bank of New York Mellon

    Jacqueline is Head of Compliance for Bank of New York Mellon across Europe, Middle East and Africa (EMEA). In this role she is responsible for 90 Compliance staff for the region covering the four pillars of Compliance: Advisory, Monitoring, financial crime/KYC and regulatory change and reporting to the Head of Global Compliance in the U.S. and EMEA Management.

    Jacqueline is a lawyer with over twenty years’ experience in the financial services industry. Prior to joining BNYM in January 2016, Jacqueline was Head of Legal for the Markets, Banking and Notes Directorates of the Bank of England, responsible for legal services to the areas of the Bank that run the Bank’s balance sheet, risk management and internal investigations. Jacqueline started her career at Clifford Chance as a banking litigator.

  • Rajiv Kapur

    Rajiv Kapur

    EMEA Head of Risk and Policy Group, Financial Crime Compliance, Goldman Sachs

    Rajiv Kapur

    Rajiv Kapur

    EMEA Head of Risk and Policy Group, Financial Crime Compliance, Goldman Sachs

    Rajiv Kapur is EMEA Head of the Risk & Policy Group, Financial Crime Compliance at Goldman Sachs, where he has worked since 2014.

    Prior to working at Goldman Sachs, he was a consultant at Deloitte working in their Enterprise Risk practice. Rajiv is a Co-Chair of the AFME financial crime working group and is the AFME representative to Joint Money Laundering Steering Group, made up of the leading UK Trade Associations in the Financial Services Industry.

  • Nicola Kerr-Shaw

    Nicola Kerr-Shaw

    Head of Intellectual Property, Technology and Procurement, CIB Legal, BNP Paribas

    Nicola Kerr-Shaw

    Nicola Kerr-Shaw

    Head of Intellectual Property, Technology and Procurement, CIB Legal, BNP Paribas

    Nicola is the Head of the Intellectual Property, Technology and Procurement Legal team for BNP Paribas in the UK. She is also a member of the bank’s global Legal IT/IP Management Team in which she coordinates the legal advice on these topics for the BNP Paribas group, with a specific focus on CIB. Nicola and her team have a broad remit, covering anything from AI to robotics, data protection to cyber security, and eCommerce to copyright and brands.

    Nicola co-chairs the AFME Data Protection Working Group and has recently spent a lot of time on GDPR implementation.

    Prior to joining BNP Paribas in 2011 Nicola was an associate at Hogan Lovells, sitting across the IP and TMT teams. In 2014 she was named as one of the Financial News ‘Top 40 under 40’ legal rising stars.

  • Pauline Laurent

    Pauline Laurent

    Director of Compliance, AMAFI

    Pauline Laurent

    Pauline Laurent

    Director of Compliance, AMAFI

    Pauline is the Director of Compliance with AMAFI since 2015. A graduate of the University of Paris-Dauphine and holder of a Master 2 degree in financial markets law, she began her career with AMAFI in 2005 before working as a compliance officer for various brokers and investment banks.

    She is an assessor for the Master Program for Compliance of the University of Strasbourg. She is a co-author of the first edition of “Directive MiFID I – Construire le marché financier européen”, published in September 2007 by RB Edition, the 2nd “MIF 2, Une nouvelle done pour l’Europe des marchés financiers”, in November 2017 and of “MiFID II: A new Framework for European Financial Markets”, by LexisNexis in January 2019. 

  • Caroline Leckie

    Caroline Leckie

    Global Reg Compliance Coordinator CIB, Deutsche Bank

    Caroline Leckie

    Caroline Leckie

    Global Reg Compliance Coordinator CIB, Deutsche Bank

  • Tilman Luder

    Tilman Luder

     Head of the Securities Markets Unit, European Commission

    Tilman Luder

    Tilman Luder

     Head of the Securities Markets Unit, European Commission

    Tilman holds a doctorate in law from the University of Tübingen.

    Before joining the European Commission in 1999, Tilman was as an associate in Cleary Gottlieb Steen and Hamilton LLP. He worked on European and German antitrust and merger control issues.

    His first job in the Commission was that of a case manager dealing with antitrust and state aid cases in the area of post and telecommunications in the Directorate General for Competition.

    In 2002, he became the spokesperson to Commissioner Mario Monti, responsible for Competition, a position he successfully held until being appointed, in 2005, Head of the Copyright Unit of Directorate General for the Internal Market (DG MARKT). 

    He pursued his career to become Head of the Asset Management Unit (2011-2015) in DG MARKT, later the Directorate General for Financial Stability, Financial Services and the Capital Markets Union (DG FISMA). 

    As of September 2015, Tilman heads the Securities Markets Unit in DG FISMA.

  • Elisa	Menardo

    Elisa Menardo

    Director, Public Policy Europe and UK, Credit Suisse

    Elisa	Menardo

    Elisa Menardo

    Director, Public Policy Europe and UK, Credit Suisse

    Elisa is a financial services regulatory lawyer and focuses on securities regulatory policy issues such as MiFIDII, PRIIPs, as well as broader European and UK government affairs.

    Prior to joining the Public Policy Europe and UK team, Elisa ran the regulatory change advisory function within Compliance at Credit Suisse, and before that she held similar positions at other investment banks. Earlier in her career Elisa worked at the UK Financial Services Authority, the European Commission and Herbert Smith Freehills, where she qualified as a solicitor in 2003.

    Elisa holds a degree in Economics and Management of Public and International Organisations from Bocconi University (Milan) and a postgraduate in law from the College of Law (Guildford).

  • Virginie Mennesson

    Virginie Mennesson

    Senior Manager, Regulatory Change, CIB UK Compliance, BNP Paribas

    Virginie Mennesson

    Virginie Mennesson

    Senior Manager, Regulatory Change, CIB UK Compliance, BNP Paribas

    Virginie joined BNP Paribas’ Corporate and Institutional Bank in London in June 2016, in the newly created Regulatory Change team in CIB UK Compliance. Virginie contributed to setting up the regulatory change function, advising on horizon scanning processes and automation and on the governance of regulatory change projects more broadly (MiFID 2 in particular). Throughout 2018, Virginie acted as Head of European Regulatory Change, focusing also on Brexit programme governance and deliverables in the UK.

    Prior to this, Virginie worked for 5 years for Barclays Global Compliance Services. She was responsible for enterprise-wide co-ordination of MiFID 2, chairing the group level MiFID 2 forum. Virginie also chaired the group’s consultation coordination forum, facilitating the bank’s engagement with key regulatory consultations.

    Virginie started her career at the UK Financial Services Authority where she worked for 11 years in various supervisory, policy and strategy roles. In 2010/11, Virginie was seconded by the FSA to the Cabinet Office (European and Global Issues Secretariat) as Senior Policy Adviser for international financial services. Her role included developing policy, co-ordinating the Prime Minister’s agenda on regulatory issues across Whitehall, and working on the implementation of the London and Pittsburgh G20 Summit commitments.

  • Carlos Molinas

    Carlos Molinas

    Managing Director, Global Head of Business Compliance, Crédit Agricole CIB

    Carlos Molinas

    Carlos Molinas

    Managing Director, Global Head of Business Compliance, Crédit Agricole CIB

    Carlos is the Global Head of Business Compliance for Crédit Agricole CIB. Working at both the public and private sectors, he has been since 2011 deeply involved in the set-up of benchmark regulatory framework in UK and EU and the creation, stabilization, transition and orderly cessation of several important benchmarks.

    Following a twenty years career in derivatives and debt capital markets at CL, Paribas and Banque AIG in London, Carlos has had the privilege to work at the UK FSA/FCA creating its two benchmark teams from anew that led multiple UK, EU and global benchmark initiatives such as the Wheatley Review of LIBOR, Hogg Committee to transfer LIBOR administration, UK first regulation for benchmarks (MAR 8), FCA Co-Chairmanship of IOSCO Task Force for Financial Benchmarks that led to the IOSCO Principles for Financial Benchmarks, FCA Co-Chairmanship of FSB OSSG that led to the FSB 2014 recommendations and progress reports, UK FEMR inclusion of seven benchmarks under MAR 8 perimeter, discussion of Level 1 EU BMR at EU Council, EU Commission and EU Parliament and ESMA Level 2 RTS, ITS and Technical Advice. Carlos had as well the privilege to represent FCA at the start of USD and GBP Risk Free Rate initiatives and early discussions to initiate fall back provision groups. Carlos is currently chairing SG4 (EONIA transition) under EUR RFR Working Group.

    Carlos holds an MBA from IESE Business School and a Master’s Degree in Organic Chemistry from Universitat Autònoma de Barcelona.

  • Will Morgan

    Will Morgan

    Group Public Affairs, Financial Crime Policy, HSBC

    Will Morgan

    Will Morgan

    Group Public Affairs, Financial Crime Policy, HSBC

    Will Morgan leads HSBC’s engagement with the EU and European governments on tackling criminal abuse of the global financial system.

    Will joined HSBC from the British Diplomatic Service, having served in Beijing, North Africa and Hong Kong in a range of political and security roles. In London, he served as adviser to No. 10 and the Cabinet Office on Counter-Terrorism in the wake of 9/11 and, more recently, on China and the Far East. His last overseas post was Deputy Consul-General Hong Kong.

    Will has extensive experience in delivering complex projects in challenging circumstances where strong leadership and meticulous risk management are essential to success. In his counter-terrorism roles he designed and implemented new information handling systems to ensure the timely reporting of threat intelligence to ministers; represented his organisation at the UK government’s top-level crisis response centre (COBR); and delivered a multi-million pound counter-terrorism programme in North Africa, winning the support of regional governments. Will believes that, in an uncertain world, good strategy and great successes are always underpinned by strong relationships of trust between people.

    Having seen the challenges for governments in tackling financial crime, particularly in the context of terrorism and proliferation, Will is passionate about the prospect of building true collaboration between the public and private sectors on these issues; the hard work of public and private sector colleagues should have the maximum impact on terrorists, sanctions-evaders and criminals and the maximum benefit to their actual and potential victims (that includes us!).

    Will speaks fluent Mandarin Chinese, French and German. He lives in the Fens in the East of England with his wife, Lucy, their teenage daughter, Florence and, occasionally, their two grown-up sons, George and Louis.

  • Martin Parkes

    Martin Parkes

    Managing Director, BlackRock

    Martin Parkes

    Martin Parkes

    Managing Director, BlackRock

    Martin is a Managing Director in BlackRock's Global Public Policy team based in London. Martin engages with policy makers and BlackRock’s clients on policy and regulation relating to investor protection and distribution, retirement and fund structures in Europe.

    Martin's service with the firm dates back to 2004. Prior to moving to this role, Martin was a director in BlackRock's legal team responsible for BlackRock's European-managed investment funds. 
    Martin is a member of ESMA's Investor Protection and Intermediaries Standing Committee's Consultative Working Group. He is also a committee member of BlackRock’s LGBT OUT & Allies network.

  • Michael Phillips

    Michael Phillips

    Head of Compliance, London, Société Générale

    Michael Phillips

    Michael Phillips

    Head of Compliance, London, Société Générale

    Michael is the Head of Compliance for Société Générale London branch, and Global Head of the Regulation and Policy Compliance for the Wholesale Banking businesses, overseeing the Normative Documentation and Regulatory Developments programmes. He joined the firm in June 2008.

    He qualified as a chartered accountant with Price Waterhouse in 1992 and joined the Securities and Futures Authority, working in the UK regulator’s Surveillance Division, with responsibility for private client and on-exchange derivatives firms. He moved to UBS’ London Compliance Department in 1997, joining the Equities Compliance team before establishing a ‘risk assessment’ team that was responsible for undertaking Compliance risk reviews within London and the European region.

    He joined Lehman Brothers in London in 2002 as the Head of Central Compliance, the role also encompassing oversight of Compliance Monitoring, the European Compliance function, the Private Client & Asset Management businesses and the Anti-Money Laundering function.

  • Andrew Procter

    Andrew Procter

    Partner, Herbert Smith Freehills LLP

    Andrew Procter

    Andrew Procter

    Partner, Herbert Smith Freehills LLP

    Andrew is a Partner in the Financial Services & Regulatory practice of Herbert Smith Freehills.

    Andrew has held a number of high profile positions, most recently Global Head of Compliance, Government and Regulatory Affairs at Deutsche Bank, which he joined in 2005. Prior to that he was head of the Enforcement Division at the UK Financial Services Authority (from 2001 to 2005). He held senior positions at the Hong Kong Securities and Futures Commission from 1996 to 2001, including as Commission Member and Executive Director of the Intermediaries and Investment Products Division, and before that, as head of enforcement at the Australian Securities Commission.

  • Sebastien Raspiller

    Sebastien Raspiller

    Head of Financial Sector Department, French Treasury

    Sebastien Raspiller

    Sebastien Raspiller

    Head of Financial Sector Department, French Treasury

    Sébastien was previously head of the Insurance Markets and Products Unit (2009-2012) and of the Corporate Financing Unit at the Directorate-General of the Treasury (2012-2013), where he also served as General Secretary of the Interministerial Committee for Industrial Restructuring. He was appointed deputy assistant secretary in 2013 (until 2018), in charge of Financial Markets and Corporate Financing.

  • Bharat Samani

    Bharat Samani

    Managing Director, Head of Compliance UK and Europe, BBVA

    Bharat Samani

    Bharat Samani

    Managing Director, Head of Compliance UK and Europe, BBVA

    Bharat is a Managing Director and Head of Compliance UK and Europe at BBVA. He has previous held positions as Head of Compliance or Senior roles in the Compliance divisions Citi, UBS, CIBC and Dresdner Kleinwort.

    Prior to this Bharat gained experience in trading room products, corporate finance advisory, research and central compliance. He has also been responsible for Financial Crime teams including re-mediation projects and retail markets in banking and broking.

    He is a current Co-chair of the AFME Compliance Committee and Chair of the Compliance Committee at the Association of Foreign Banks (AFB).

  • Alistair Stables

    Alistair Stables

    Head of International Regulatory Relations, Bank of America Merrill Lynch

    Alistair Stables

    Alistair Stables

    Head of International Regulatory Relations, Bank of America Merrill Lynch

  • Jeremy Stockwell

    Jeremy Stockwell

    CCOR Director, Markets (Global Corporates, Financial Institutions, CB Markets) & GCT, Lloyds Banking Group

    Jeremy Stockwell

    Jeremy Stockwell

    CCOR Director, Markets (Global Corporates, Financial Institutions, CB Markets) & GCT, Lloyds Banking Group

    Jeremy leads the Conduct, Compliance and Operational Risk teams advising and oversighting the Capital and Financial Markets, Global Corporates and Financial institutions coverage, and Group Corporate Treasury business units at Lloyds Bank.

    Jeremy joined LBG in 2011, initially to lead the Private Side Compliance Advisory and Control Room team and has over 30 years’ experience in financial regulation. Previous roles include Deputy Head of UK Compliance at BNP Paribas, Director, Wholesale Regulatory Risk Advisory at EY, Principal, Regulatory Risk Advisory at KPMG, Head of Strategic Market Development/Deputy Market Secretary/Head of Market Investigations at LIFFE and Banking Supervision at Bank of England.

    Jeremy advised on Lloyds’ response to FEMR and has helped to drive the development of its approach to Market Conduct and Wholesale Competition issues. He is currently a member of the AFME Compliance Committee, and of the FMSB’s Codes & Standards Convergence Sub-Committee.

  • Stephen Strombelline

    Stephen Strombelline

    Managing Director, Capital Forensics

    Stephen Strombelline

    Stephen Strombelline

    Managing Director, Capital Forensics

    Stephen is a Managing Director with Capital Forensics, Inc., focusing on compliance, regulatory and risk management capabilities for financial services firms and FORTUNE 500 companies. Stephen has more than three decades of compliance and regulatory experience, most recently having served as a Senior Vice President and Head of Corporate Compliance for the Charles Schwab Corporation. Here, he was responsible for establishing a framework for identifying, monitoring and reporting compliance risks across the corporation, and had frequent interaction with key regulators.

    Previously, he had served as Chief Compliance Officer in the United States for two major global banks – Barclays Capital and BNP Paribas – where his responsibilities included developing and maintaining comprehensive compliance programs for all of their bank and broker-dealer businesses, relevant to securities and banking regulations.

    Stephen started his career at the predecessor to the Financial Industry Regulatory Authority (FINRA), and for many years was the Associate Director of the New York office. He served as Chairman of the National Society of Compliance Professionals and the Institute of International Bankers' Compliance Committee, and was an Executive Committee Member of SIFMA's Compliance & Legal Society.

  • Jeroen van der Klaauw

    Jeroen van der Klaauw

    Senior Compliance Officer, TD Securities

    Jeroen van der Klaauw

    Jeroen van der Klaauw

    Senior Compliance Officer, TD Securities

    Jeroen is a Senior Compliance Officer in the London Branch of TD Securities. TD Securities is a Canadian investment bank and financial services provider that offers advisory and capital market services to corporate, government, and institutional clients worldwide.

    Jeroen has more than 14 years’ experience in both buy and sell-side firms. He began his career in 2004 at Royal Philips Electronics. In 2006 he started work as an Internal Auditor covering ING’s Wholesale Banking and Investment Management activities in Amsterdam and The Hague. Jeroen moved to London in 2012 to become part of JPMorgan’s Global Investment Management Internal Audit team. He serves as the Chairman of AFME’s Trade Surveillance Working Group.

    Jeroen has a M.Sc. from the Vrije Universiteit Amsterdam in Economics. He also holds an Executive Master in Internal Auditing from the Erasmus Universiteit in Rotterdam. He is a Certified Internal Auditor (CIA) and Certified Anti-Money Laundering Specialist (CAMS).

  • Antony Whitehouse

    Antony Whitehouse

    UK Head of Compliance, Natixis

    Antony Whitehouse

    Antony Whitehouse

    UK Head of Compliance, Natixis

    Antony is the UK Head of Compliance for Natixis. Prior to this he was the UK Group Head of Compliance for BNP Paribas Group, one of the largest banking groups in the world, and Global Head of Fixed Income Compliance.

    He has been UK Group Head of Compliance for Crédit Agricole and UK Head of Compliance for WestLB, where he also set up and oversaw the UK Money Laundering Prevention Department in the early 2000s. He previously worked at the UK Regulator (FSA), dealing with the larger and more complex institutions, and was an independent arbitrator on the SFA Consumer Arbitration panel.

    Until recently he was Chairman of the Compliance Committee of the Association for Financial Markets in Europe (AFME) and has been the Deputy Chairman of the Securities Houses Compliance Officer’s Group for some time.