Team Member

Stuart Williams

Head of Compliance

Stuart has more than 25 years’ experience in the financial services industry.

He has a Diploma in Investment Compliance from the Chartered Institute for Securities and Investments (as well as the CISI Investment Operations Certificate) and is registered with the Financial Conduct Authority as a Director (CF1), Compliance Officer (CF10) and Money Laundering Officer (CF11) for both brokerage and investment management firms. He is also the Group’s nominated Data Protection Officer.

In addition, Stuart holds directorships and MLRO appointments with UCITS and AIF authorised Irish investment fund companies under the CBI Fitness & Probity Standards Regime.

Stuart has worked in the Compliance departments of many leading financial services firms, including Royal London Asset Management, AC Global Markets, ING Group and Securis Investment Partners.