Steve O'Hare, MCSI

London, England, United Kingdom

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Timeline
About me
Accomplished compliance professional with 35+ years market experience. Protecting companies through robust compliance programs and fostering cultures of integrity.
Education
- Colchester institute
  1984 - 1985
  Further education
- St john payne rc school
  1979 - 1984
  Computer and information sciences, general
- The chartered institute for securities & investment (the cisi)
  2019 - 2022
  Level 4 investment advice diploma (rdr compliant) derivatives pass
  The IAD was specifically developed to comply with the examination standards of the RDR and it appears on the FCA’s Appropriate Qualification tables. It provides a sound grounding in UK financial services and consumer relationships, macro-economic environment, settlement, safe custody and prime brokerage, exchange traded futures and options and financial protection.
- The chartered institute for securities & investment (the cisi)
  2022 - 2023
  Level 6 regulation & compliance merit
  The Diploma is the highest award available from the CISI to candidates that is based upon regulatory qualifications.
- The chartered institute for securities & investment (the cisi)
  2017 - 2018
  Level 3 certificate in global financial compliance finance, general pass
  Global Financial Compliance provides a broad understanding of the compliance issues that arise within the financial services sector. The qualification addressed techniques used to implement a successful compliance function in a bank and provided a comprehensive introduction to all the issues encountered as a Compliance Officer. It explores the international regulatory environment, managing the risks of financial crime, governance, risk management, ethics, integrity and fairness.
- Society of technical analysts limited
  2014 - 2015
  Sta diploma technical analysis distinction
  Activities and Societies: STA-UK.org Course ObjectiveThe aim of the STA Diploma Part 2 Course and examination is to confirm that a candidate possesses the professional knowledge, understanding and skills to pursue a career in technical analysis within the investment community. In particular, at the end of their training period qualified technicians are expected to have a good understanding of, and practical experience in, the major techniques taught on the course, together with a wide range of timing and analytical tools… Show more Course ObjectiveThe aim of the STA Diploma Part 2 Course and examination is to confirm that a candidate possesses the professional knowledge, understanding and skills to pursue a career in technical analysis within the investment community. In particular, at the end of their training period qualified technicians are expected to have a good understanding of, and practical experience in, the major techniques taught on the course, together with a wide range of timing and analytical tools and indicators to enable them to select the most advantageous portfolios, trades, hedges etc. for their clients, their employers or their own trading systems. The syllabus is therefore designed primarily to ensure that students will gain the necessary skills to pursue their careers to a more advanced level in a professional manner, and also to provide investors with the knowledge and confidence in technical analysis that will enable them to make better informed trading decisions. Show less
Experience
- Centrefile
  Mar 1985 - Mar 1986
  Computer operator
- Gafta: the grain and feed trade association
  Apr 1986 - Apr 1987
  Call chairman
- Cargill
  May 1987 - Aug 1987
  Junior commodity trader
- Barnes & co
  Sept 1987 - Feb 1989
  Junior/senior trader
- James capel & co. limited.
  Mar 1989 - May 1991
  Senior trader
- Babcock & brown
  Jun 1991 - Apr 1992
  Senior futures trader
  Senior Futures Trader
- Refco, inc.
  May 1992 - Dec 1994
  Senior trader
  Senior Futures Trader
- Turtle futures/tower trading/schneider trading
  Jan 1995 - Aug 2010
  Fixed income futures trader
  Analyze and study the diverse aspects that have considerable effects on the economy and exchange rates.Executed and performed duties such as buying and selling of fixed income via Futures.Generate profitable trading accounts for corporate and personal accounts.Consistently generate a profitable and quantifiable track record
- Turtle futures
  Jan 1995 - Sept 2009
  Owner
  Oversee front-office operations and provide impeccable customer service:Develop and implement strategic expansion plan for business:o Launched a thriving facilitated office, building revenue with minimal overhead.o Expand trading office from 4 to 20 self backed traders between 2000 and 2004.o Oversee the transfer of all business aspects to a Major futures facilitator.
- Gelber group llc
  Sept 2010 - May 2012
  Fixed income & fx proprietarytrader
  Trading Fixed Income. Equities, FX and Commodities
- Pia-first limited
  Apr 2012 - Nov 2023
  Co-founder
  Our approach leverages technical analysis to generate actionable trading strategies across various time horizons and asset classes, including Equity, Fixed Income, Foreign Exchange, and Commodities. As an independent institutional research firm, we deliver market analysis and trading strategies through a live, clear, and user-friendly format. We understand the deluge of information financial market professionals face, and we aim to meet the essential need for live, easily implementable information on trade timing and market direction. Our methodology, rooted in Technical Analysis, caters to both Intraday and Medium-term trading horizons, setting us apart as a valuable resource for our institutional subscribers. Show less
- Investate limited
  Sept 2018 - now
  Founder
  Our core mission is to provide bespoke regulatory compliance and investment management solutions that are tailored to meet the unique needs of our clients. With a deep-rooted understanding of the complexities and challenges of the financial landscape, we harness our extensive experience to guide our clients through the regulatory environment, ensuring they stay ahead of changes and fully compliant. Our dedicated team, driven by a passion for innovation and success, empowers clients by delivering personalized, strategic advice aimed at optimizing their financial operations and maximizing returns. Join us in redefining financial success. Show less
- Signal centre
  Nov 2018 - Nov 2023
  Chief operating officer
  Signal Centre is a brand name change of PIA-First which provides a unique multi-language research & trade ideas service which uses technical analysis to generate trading strategies across different time horizons and asset classes.Signal Centre has progressed to focus on enhancing trader knowledge and education through the Signal Centre Trading Academy.Our analysis methodology is derived solely from Technical Analysis and is applied across multiple asset classes – Equity Indices, Single Stocks, Foreign Exchange, Commodities and Cryptocurrencies. Our analysis covers 2 trading horizons – Intraday and Short term time horizons. Show less
- Pia first limited
  Dec 2023 - now
  Compliance & mlro
  As the Head of Compliance, my role is pivotal in ensuring our company adheres to legal standards and internal policies, with a special focus on meeting the Financial Conduct Authority (FCA) regulations. I'm tasked with developing and implementing comprehensive compliance programs that align with FCA guidelines, conducting audits to identify any breaches, and advising management on the best compliance practices. Staying ahead of regulatory changes, especially those from the FCA, and educating our team on these updates is a key part of my responsibilities. I devise risk management strategies to mitigate compliance risks, serve as the main point of contact for the FCA, ensuring we meet all reporting requirements, and manage any inquiries or examinations from them. Upholding our company's integrity, reputation, and ensuring we operate within the legal framework set by the FCA are my primary goals. Show less
- Diagram capital
  Apr 2024 - now
  Director
  Diagram Capital is an investment company with a strong focus on serving financial institutions. We specialise in providing expert services in investment consultancy and client fund management. Our proficiency extends to treasury management operations and the strategic crafting of liquidity portfolios.
Licenses & Certifications
- Global financial compliance
  The chartered institute for securities & investment (the cisi)
  Oct 2017
- Diploma in technical analysis
  Society of technical analysts limited
- Diploma in investment compliance
  The chartered institute for securities & investment (the cisi)
  Nov 2023
- Investment advice diploma
  The chartered institute for securities & investment (the cisi)
  Oct 2022
Volunteer Experience
- School Governor
  Issued by St John Payne RC School on Jan 2010
  Associated with Steve O'Hare, MCSI