Angle Financial & Legal Consulting

Compliance and Regulatory Advice provided by David Ellis

Profile

david-ellis

  • Senior Solicitor (and Barrister) focussed on new finance regulations, products and services
  • Recently completed long-term contract with J P Morgan Private Bank– Wealth Management
  • Advising on a range of investment, trading, outsourcing, anti-corruption financial promotion, governance, money laundering, market abuse and fees matters
  • Advising on new  financial services regulations  covering financial markets, asset managers, banks, IFAs, anti-bribery, fees & inducements and EU/US regulations

 

Copy of Curriculum Vitae can be found here:
David has professional legal qualification as a Barrister/Solicitor and recently has been a Consultant Compliance Legal Adviser with Norton Rose Fulbright and with Kirkland and Ellis and has consulted part-time with a Compliance Regulatory team at BNP Paribas in London and with specialist compliance advisers in the City .
 
David has extensive career experience in legal, regulatory and compliance areas involving business, product development and marketing areas within banks, asset & wealth management groups and insurance and broking firms.  Having originally qualified as a Barrister in the 1980s, he has been a Solicitor/Barrister regulatory adviser for the past 15 years, both in private practice and in-house with a range of financial groups. 
 
Roles as a consultant and compliance advisers have included:  JP Morgan Private Bank, PIMCO, AIG, Pavilion Asset Management, Threadneedle Investment Management, Darwin Strategic Investment and Oracle Capital Wealth Management.
 
Previous practical experience has included CF10 (Compliance Officer) and CF11 (Money Laundering Reporting Officer) for financial services firms as well as advising and training approved persons and those with significant control (board members and senior managers) in a range of firms and across the field of regulation.


 

Principal Achievements – Structural, Product & Service Solutions

  • Developing new retail and institutional investment products; presenting to senior management and implementation
  • Inter-acting with external service providers/depositaries and regulators in establishing new products and businesses
  • Implementing and training for impact of  key regulation for fees; governance; market abuse; AML; remuneration controls; risk and capital; anti-bribery and corruption measures
  • Focus on new business and fund set-up issues – commercial/regulatory
  • Development of database of cross-border regulations and risks
  • Assessing impact of IT developments in areas such as data protection; crowdfunding; peer-to-peer; money laundering and financial crime

Previous Clients & Employers

Involvement (as employee/consultant) in a range of business/product development and compliance projects with particular focus on compliance/legal/risk perspectives for:

  • Banks – Warburgs; Societe Generale; NatWest; JPMorgan; BNPP;
  • Asset Managers – Gartmore; AIG; PIMCO; Threadneedle;Johnson Fry; Pavilion Asset  Management;
  • Brokers – Cargill Financial Services; Crowdfunding providers; Securities, Commodities and Forex brokers
  • Range of small financial firms in areas of wealth management; broking, credit providers; spreadbetting; electronic money providers and financial advisory.

Compliance Advice services to financial services businesses:

  •  In association with Laven Partners and CPA Audit and Laven Partners – City based specialist compliance/ICAAP & accountancy services and alternative fund advisers

Consultant Solicitor/Counsel advising on financial services; company and banking issues with a number of solicitor firms:

  • Kirkland & Ellis; Norton Rose Fulbright; Reed Smith Richards Butler; Howard Kennedy; Legg Mason; Farrers; Fladgates; DMH Stallard; MWCornish
  • (As Pupil Barrister) In Chancery Chambers (focussing on insolvency/banking) and in Tax Chambers

 IT and Cybersecurity issues

  • Review of data protection and GDPR issues
  • Assisting in developing measures to protect data and meet compliance requirements
  • Advice on risks presented by online data attacks
  • Management of websites and online procedures and contracts
  • Consultancy work in areas of bank legacy systems; e-mail security; e-commerce and e-money

 Angle Services Available

  •  Available to work on a per day or flexible short-term contract basis as a legal, compliance and business advisory consultant