Daniel Smith
Group Chief Compliance Officer @Ballinger Group
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WORK HISTORY
Group Chief Compliance Officer @Ballinger Group
London, GB
Group Chief Compliance Officer | Driving Regulatory Excellence & Risk Mitigation As the Group Chief Compliance Officer, I am committed to driving regulatory excellence, fostering a strong compliance culture, and safeguarding the organization\'s reputation. With a strategic approach and extensive knowledge of international compliance frameworks, I ensure compliance with applicable regulations while supporting business growth. Responsibilities: • Develop and implement robust compliance strategies across multiple jurisdictions, aligning with UK regulatory requirements and industry best practices. • Provide strategic guidance to senior management and board members on compliance matters, ensuring adherence to relevant laws and regulations. • Design and manage effective compliance programs, policies, and procedures that mitigate risks while supporting business objectives. • Conduct regular compliance risk assessments and audits, addressing non-compliance issues through proactive measures. • Act as primary point of contact for regulatory authorities, ensuring timely and accurate reporting of compliance matters. • Oversee development and delivery of compliance training programs, fostering a culture of compliance awareness and ethical conduct. • Lead investigations into compliance incidents, implementing corrective actions to prevent reoccurrence. • Collaborate with cross-functional teams, including Legal, Risk Management, and Internal Audit, for integrated compliance and risk management. • Stay updated on regulatory developments and emerging risks, adjusting compliance framework accordingly. • Champion integrity, ethical behaviour, and transparency throughout the organization.
EDUCATION
The Chartered Institute for Securities & Investment (The CISI)
Client Money & Assets
The Chartered Institute for Securities & Investment (The CISI)
UK Financial Regulation
University of Plymouth
Bachelor of Science (BSc), Psychology
ABOUT DANIEL SMITH
I have a wealth of experience in Compliance and Risk Management, and I\'m dedicated to achieving outstanding results. With a strategic mindset and clear direction, I\'ve successfully led multidisciplinary projects, ensuring their timely completion. This includes projects involving customised financing structures, regulatory changes, proprietary systems enhancements, and more. When it comes to regulatory frameworks, I possess a deep understanding of various key regulations and directives. I am well-versed in the FCA Handbook, Regulated Activities Orders, FSMA, PDS2, EMD2, MIFID II, EMIR, Financial Crime legislation, and data protection legislation. This knowledge encompasses vital areas such as anti-money laundering regulations, market abuse, proceeds of crime, and data protection requirements. This comprehensive knowledge empowers me to develop innovative solutions and ensure compliance with relevant regulations and directives. I have a knack for navigating complex regulatory landscapes, seamlessly integrating regulatory requirements into business operations. In the realm of compliance, I bring valuable expertise in financial crime legislation, including anti-money laundering regulations, market abuse rules, and the Proceeds of Crime Act. Additionally, my understanding of data protection legislation enables me to address the intricacies of safeguarding personal data and ensuring organisations comply with data protection requirements. Overall, my expertise covers a wide range of regulatory frameworks, equipping me to guide organisations through the complexities of compliance and risk management. I am committed to helping businesses thrive while meeting their regulatory obligations effectively, including data protection standards.
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