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Tony A.

Tony is an investment management compliance professional with over 20 years experience in both UK and overseas regulation.... | Gloucester, Gloucester, United Kingdom

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Tony A.’s Location Gloucester, Gloucester, United Kingdom

Tony A.’s Expertise Tony is an investment management compliance professional with over 20 years experience in both UK and overseas regulation. He instils confidence through commercial sensitivity, technical knowledge and approachability. His previous roles include Head of Investment Management Compliance and a regulator with IMRO (precursor of the UK Financial Conduct Authority). Tony's expertise includes institutional/retail investment management and administration, regulated collective investment schemes (mutual funds) and life funds. In his existing role he has moved from the second line of defence to the first line and has responsibility for oversight, from a compliance and operational perspective, of Friends Life’s c£100 Billion of Assets managed by external Investment Managers. His technical skills include all types of investment instruments (e.g. equities, fixed income and derivatives), monitoring outsourced and offshored fund management both in the UK and overseas (USA, Japan, Hong Kong, France, Germany and Luxembourg); outsourced custody and fund administration (including transfer agency, pricing, settlements and corporate actions). An expert in conducting operational due diligence on both outsourced and offshored activities, he also has a track record of implementing electronic systems (Longview, Sentinel, Think Folio and Cadis), industry leading compliance systems, building/managing an expert team and developing excellent internal and external relations (with FCA, Depositary, brokers, trade bodies and the industry). Specialties: Troubleshooting, monitoring and advice of investment management, OEICs/unit trusts/mutual funds, outsourcing/offshoring, ISA's, capital adequacy and ICAAP. Experienced in equities, fixed Income and derivative instruments; fund administration/custody with good knowledge of the life and pensions business.

Tony A.’s Current Industry Investment Management Compliance Industry

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Work Experience

Investment Management Compliance Industry

Retired

Tue May 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time) — Present

Aviva

Senior Manager, Investment Oversight and Controls with Aviva Life UK&I

Wed Apr 01 2015 00:00:00 GMT+0000 (Coordinated Universal Time) — Tue May 01 2018 00:00:00 GMT+0000 (Coordinated Universal Time)

Friends Life UK

Investment Governance Manager (Unit Linked Funds)

Tue Feb 01 2011 00:00:00 GMT+0000 (Coordinated Universal Time) — Wed Jul 01 2015 00:00:00 GMT+0000 (Coordinated Universal Time)

Friends Provident

Investment Management Compliance Consultant

Thu Apr 01 2010 00:00:00 GMT+0000 (Coordinated Universal Time) — Tue Feb 01 2011 00:00:00 GMT+0000 (Coordinated Universal Time)

Vertex Financial Services

Interim Head of Compliance & Risk (Life and Pensions)

Sun Nov 01 2009 00:00:00 GMT+0000 (Coordinated Universal Time) — Thu Apr 01 2010 00:00:00 GMT+0000 (Coordinated Universal Time)

Investment Compliance (UK) Limited

Compliance Consultant and Owner

Mon Dec 01 2008 00:00:00 GMT+0000 (Coordinated Universal Time) — Tue Feb 01 2011 00:00:00 GMT+0000 (Coordinated Universal Time)

Friends Provident

Investment Management Compliance Consultant

Mon Dec 01 2008 00:00:00 GMT+0000 (Coordinated Universal Time) — Sun Nov 01 2009 00:00:00 GMT+0000 (Coordinated Universal Time)

LV= (Liverpool Victoria Friendly Society)

Head of Compliance - Investment Management

Sun Jul 01 2001 00:00:00 GMT+0000 (Coordinated Universal Time) — Fri Aug 01 2008 00:00:00 GMT+0000 (Coordinated Universal Time)

Investment Compliance Officers Discussion Group

Chair

Mon Nov 01 1999 00:00:00 GMT+0000 (Coordinated Universal Time) — Sun Nov 01 2009 00:00:00 GMT+0000 (Coordinated Universal Time)

Compliance Institute

Conferences Committee

Mon Jan 01 1996 00:00:00 GMT+0000 (Coordinated Universal Time) — Fri Jan 01 2010 00:00:00 GMT+0000 (Coordinated Universal Time)

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Languages

Tony A. Email Addresses

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FAQ About Tony A.

Tony A. is located at
Gloucester, Gloucester, United Kingdom

Tony A. is a
Tony is an investment management compliance professional with over 20 years experience in both UK and overseas regulation. He instils confidence through commercial sensitivity, technical knowledge and approachability. His previous roles include Head of Investment Management Compliance and a regulator with IMRO (precursor of the UK Financial Conduct Authority). Tony's expertise includes institutional/retail investment management and administration, regulated collective investment schemes (mutual funds) and life funds. In his existing role he has moved from the second line of defence to the first line and has responsibility for oversight, from a compliance and operational perspective, of Friends Life’s c£100 Billion of Assets managed by external Investment Managers. His technical skills include all types of investment instruments (e.g. equities, fixed income and derivatives), monitoring outsourced and offshored fund management both in the UK and overseas (USA, Japan, Hong Kong, France, Germany and Luxembourg); outsourced custody and fund administration (including transfer agency, pricing, settlements and corporate actions). An expert in conducting operational due diligence on both outsourced and offshored activities, he also has a track record of implementing electronic systems (Longview, Sentinel, Think Folio and Cadis), industry leading compliance systems, building/managing an expert team and developing excellent internal and external relations (with FCA, Depositary, brokers, trade bodies and the industry). Specialties: Troubleshooting, monitoring and advice of investment management, OEICs/unit trusts/mutual funds, outsourcing/offshoring, ISA's, capital adequacy and ICAAP. Experienced in equities, fixed Income and derivative instruments; fund administration/custody with good knowledge of the life and pensions business. Investment Management Compliance Industry

Tony A. currently works in the
Investment Management Compliance Industry

Tony A. specializes in
Tony is an investment management compliance professional with over 20 years experience in both UK and overseas regulation. He instils confidence through commercial sensitivity, technical knowledge and approachability. His previous roles include Head of Investment Management Compliance and a regulator with IMRO (precursor of the UK Financial Conduct Authority). Tony's expertise includes institutional/retail investment management and administration, regulated collective investment schemes (mutual funds) and life funds. In his existing role he has moved from the second line of defence to the first line and has responsibility for oversight, from a compliance and operational perspective, of Friends Life’s c£100 Billion of Assets managed by external Investment Managers. His technical skills include all types of investment instruments (e.g. equities, fixed income and derivatives), monitoring outsourced and offshored fund management both in the UK and overseas (USA, Japan, Hong Kong, France, Germany and Luxembourg); outsourced custody and fund administration (including transfer agency, pricing, settlements and corporate actions). An expert in conducting operational due diligence on both outsourced and offshored activities, he also has a track record of implementing electronic systems (Longview, Sentinel, Think Folio and Cadis), industry leading compliance systems, building/managing an expert team and developing excellent internal and external relations (with FCA, Depositary, brokers, trade bodies and the industry). Specialties: Troubleshooting, monitoring and advice of investment management, OEICs/unit trusts/mutual funds, outsourcing/offshoring, ISA's, capital adequacy and ICAAP. Experienced in equities, fixed Income and derivative instruments; fund administration/custody with good knowledge of the life and pensions business.

Tony A. speaks the following languages:
No languages available.

Tony A. has prior experience in the following industries:
Investment Management Compliance Industry , Aviva , Friends Life UK , Friends Provident , Vertex Financial Services , Investment Compliance (UK) Limited , Friends Provident , LV= (Liverpool Victoria Friendly Society) , Investment Compliance Officers Discussion Group , Compliance Institute

Tony A. has the following professional experience:
Investment Management Compliance Industry , Aviva , Friends Life UK , Friends Provident , Vertex Financial Services , Investment Compliance (UK) Limited , Friends Provident , LV= (Liverpool Victoria Friendly Society) , Investment Compliance Officers Discussion Group , Compliance Institute .