Anthony Holland

Senior Vice President @Kroll

London, GB

Providing regulatory consultancy services to a range of institutional clients• Undertaking Compliance Risk Assessments and implementing Compliance Monitoring Programmes• Providing support and assistance to several financial institutions in the operational compliance with the Client Asset Rules• Project Managing a Governance, Risk and Compliance integration project at an international broker/dealer firm • Providing interim cover for the CF10a role at an ACD• Reviewing and updating a range of CASS related policies and advising firms on the required monitoring arrangements in line with CASS expectations• Working on CASS S166 Skilled Person projects in CASS, Compliance and AML• Working with Internal and External Audit in the delivery of CASS objectives• Oversight responsibilities in a long term Transaction Reporting project• Implementation a market abuse compliance monitoring programme during a long term secondment at a UK based hedge fund manager • Undertaking staff training on regulatory matters particularly Client Money and Client Asset responsibilities• Leading Thematic and Desk Based Compliance Monitoring Reviews