Claire Taylor

Experience

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  Merrill Lynch

  Jul 1999 - Jan 2003

  Registrations Officer AVP

  Sole responsibility for the UK Approved Persons regime (including transition from SFA to FSA during N2), exchange registrations, US exams (Series 7, 3, etc.) registrations and continuing education.

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  Rabobank International

  Feb 2003 - Aug 2012

  Senior Compliance Officer

  Compliance officer solely responsible for private side businesses (Mergers & Acquisitions, Leveraged Finance, Trade & Commodity Finance, Corporate Lending and Relationship Management teams). Also led Central Compliance function (Conflicts and Chinese Walls, PAD, G&E, Approved Persons, Training, P&P's)

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  Daiwa Capital Markets Europe Ltd

  Sept 2012 - Mar 2018

  Director, Advisory Compliance

  MiFID II/R - Compliance Lead for Transaction Reporting implementation EMIR Level II Validation changes (Nov 2017) - Compliance lead for implementationEMIR Implementation Project (Feb 2014) - Compliance lead for implementation Compliance Advisory covering Fixed Income, Equities, Investment Banking & Convertible Bonds Control Room (conflicts management, market abuse, personal account dealing etc) Transaction Reporting Monitoring and surveillanceCollation and prepation of Compliance MI through dashboard Creation and maintenance of policies and proceduresClient Due Diligence sign-off Central/Core compliance including Approved Persons, Training, PAD, Gifts & Entertainment, Bribery etc Show less

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  Raymond James Financial International Limited

  Jun 2018 - now

  Senior Compliance Officer