Mark Sutton
Head of Compliance Oversight @InvestEngine
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WORK HISTORY
Head of Compliance Oversight @InvestEngine
SKILLS
ABOUT MARK SUTTON
A highly skilled financial crime focused compliance professional with more than 15 years experience of providing interim senior management, advisory and consultancy solutions, across complex regulatory and technical engagements. Effective guidance of regulatory controls and governance, target operating model enhancements, and focused tasks to address FCA permissions, licensing, disciplinary and supervisory restrictions. Developing scope, analysis and risk assessment, policy and process writing, delivery and implementation, audit and report, of complex key regulatory projects across multiple financial service sectors and risk levels, including: o Consultancy Associate: Deloitte, EY, BDO & FTI o Fintech & Platform (SEI, Virgin Money, Capital.com, Tyl, NOMO, Wealthtime)o Asset Management (Hargreaves Lansdown, Baillie Gifford)o Private Banking (Rothschild & Co, Julius Baer, BLME Private Bank, Coutts)o Commercial/Wholesale Banking (UBA UK Ltd, First Abu Dhabi Bank, HSBC)o Retail Banking (Barclays, Lloyds)o Challenger (Allica Bank, Secure Trust Bank)
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