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Louise Coleman

Louise Coleman

Conference Producer - Risk and Compliance

Followers of Louise Coleman740 followers
location of Louise ColemanLondon, England, United Kingdom

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  • Timeline

  • About me

    Compliance Officer

  • Education

    • The Chinese University of Hong Kong

      -
      Exchange student International Asian Studies Programme

      Studied beginners mandarin, Asian history and politics.

    • University of Leeds

      -
      Bachelor's Degree BA History (International) (Hons) 1st class honours

      Dissertation explored the impact of the eugenics movement on intraracial constructions of black motherhood during the Harlem Renaissance.

  • Experience

    • Infoline Conferences

      Aug 2014 - Sept 2015
      Conference Producer - Risk and Compliance

      Conducted in-depth research on compliance topics and European regulation to create to create conferences for risk and compliance professionals in financial services. Topic areas included:AML, Financial Crime & Sanctions Risk Market Abuse Prevention & Compliance under MARBenchmark Regulation & Reform Complaints Management in Financial ServicesCompliance Monitoring & Assurance StrategySenior Managers & Certification Regimes

    • Natixis

      Feb 2016 - Mar 2022

      Act as the Conduct Officer and Compliance lead for rolling out an enhanced conduct and culture framework. Part of the testing, monitoring, and surveillance group. Project lead for implementing new employee ethics and trading tool. Act as Secretary of the Firm’s Misconduct committee. Provide written and in person responses in regulatory exams. Part of Core Compliance team. Focuses: FINRA registrations, drafting policies and procedures, compliance training, political contributions, gifts and entertainment, personal account trading.

      • Central Compliance

        Sept 2021 - Mar 2022

      • Vice President, Compliance

        Jan 2019 - Aug 2021

      • Associate, Compliance

        Jun 2017 - Jan 2019

      • Graduate Analyst, Compliance

        Feb 2016 - May 2017

    • Rothesay

      Mar 2022 - now

      • Head of Central Compliance

        Jun 2024 - now

      • Head of Compliance Assurance and Employee Compliance

        Nov 2022 - Jun 2024

      • Compliance (Employee Compliance & Monitoring)

        Mar 2022 - Nov 2022

  • Licenses & Certifications

    • IRS Tax Law Certified Volunteer (VITA/TCE Program)

      Internal Revenue Service