Dan Marriott, Chartered MCSI, MICA

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Dubai, United Arab Emirates

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Timeline
About me
Progressive Compliance Officer | Championing Ethical and Legal Excellence
Education
- Brecon High School
  1998 - 2005
  A-Levels & GCSEs
- University of Wales, Aberystwyth
  2005 - 2008
  Bachelor of Laws (LLB)
- University of Wales, Aberystwyth
  2008 - 2010
  International Business Management (MSc Econ)
Experience
- Hargreaves Lansdown
  Feb 2010 - Jul 2013
  - Senior Investment Administrator
    May 2011 - Jul 2013
  - Investment Administrator
    Feb 2010 - Apr 2011
- Attivo Group
  Jul 2013 - Aug 2016
  - Investment Operations Manager
    Nov 2015 - Aug 2016
  - Senior Investment Operations Administrator
    Jul 2013 - Oct 2015
- AES International
  Sept 2016 - now
  - Director | Compliance
    Mar 2023 - now
  - Associate Director | Business Operations
    Sept 2017 - Mar 2023
  - Senior Investment Operations Associate
    Sept 2016 - Aug 2017
Licenses & Certifications
- Advanced Global Securities Operations
  The Chartered Institute for Securities & Investment (The CISI)
  Jun 2018
- SMF16 Compliance Oversight
  Financial Conduct Authority
  May 2021
- SMF17 Money Laundering Reporting Officer (MLRO)
  Financial Conduct Authority
  May 2021
- Level 4 ICA Certificate in Financial Crime Compliance for the Insurance Sector in the UAE
  International Compliance Association
  Aug 2021
- Global Securities Operations
  The Chartered Institute for Securities & Investment (The CISI)
  Jun 2015
- Introduction to Securities and Investment
  The Chartered Institute for Securities & Investment (The CISI)
  May 2011
- UK Financial Regulation
  The Chartered Institute for Securities & Investment (The CISI)
  Aug 2014
- Level 3 Certificate in Investment Operations
  The Chartered Institute for Securities & Investment (The CISI)
  Jun 2015
- Level 5 Advanced Certificate in Global Securities Operations
  The Chartered Institute for Securities & Investment (The CISI)
  Jun 2018
- Level 3 Award for Introduction to Investment
  Chartered Institute for Securities & Investment (CISI)
  May 2011