Steven N.

Chief Compliance Officer, Mlro & Company Director (Fca) @Quantum Group

London, GB

Led and managed Compliance and Financial Crime Prevention teams (KYC, Sanctions, and Transaction Monitoring), developing and implementing strategies to mitigate regulatory and financial crime risks in alignment with FCA requirements- Conducted comprehensive policy and procedure reviews, ensuring alignment with evolving regulatory frameworks and industry best practices across multiple jurisdictions- Implemented regular Business-Wide (BW) Risk Assessments across five entities, maintaining and updating risk registers to reflect changes in business operations and the regulatory landscape- Enhanced compliance reporting through the introduction of key performance indicators (KPIs), providing improved oversight and insight to various Boards, including both FCA-regulated and non-FCA entities- Served as the primary point of contact for regulatory authorities and law enforcement agencies, managing inquiries, audits, and examinations- Authored and submitted successful applications for Electronic Money Institution (EMI) licences in both the UK and EU (Malta) jurisdictions- Oversaw investor KYC and due diligence processes in support of investment and M&A activities- Developed and implemented compliance frameworks, including Management Information (MI) reporting and periodic compliance reviews- Established and executed an assurance review programme to strengthen governance and control testing.Active Board Member, providing strategic oversight on compliance, governance, and risk management matters.

Brunel University of London

M.B.A, Business

Brunel University of London

Master of Business Administration - MBA, Business Administration and Management, General