Keith has over 33 years of practical experience in regulatory compliance, risk management and financial crime matters gained through working in senior risk and compliance roles encompassing retail, corporate and private banking, wealth management, offshore life insurance, law firm and trust company business. During this time Keith has gained hands on experience on regulatory compliance, cross-border product and services distribution, financial crime investigations and enforced disclosure issues, financial and trade-based sanctions matters, general conduct of business issues, establishing and overseeing outsourced arrangements oversight both (intra group and with third parties) for multiple providers. Keith has successfully managed a number of regulatory inspections by various international regulators.
Keith began his Compliance career in the UK in June 1988 following the birth of Compliance in the UK by the Financial Services Act 1988. His subsequent roles have included enterprise risk management, financial crime, conduct risk and operational management responsibilities for a number of international blue-chip financial services companies covering various business sectors in various jurisdictions and through local and cross-border distribution channels. Keith has been the Isle of Man and then Jersey since 1995.
Keith is a Fellow, and Certified Professional, of the International Compliance Association and past Chairman of the Jersey Compliance Officers’ Association.
From 2016 to 2019 Keith worked as a regulatory consultant, providing expert assistance, leadership advice and support, troubleshooting, independent assessment of policies and procedures to improve the efficiency and effectiveness, assisting with regulatory remediation issues or business control improvements.
In 2017 Keith was engaged by the International Association of Insurance Supervisors (IAIS), part of The World Bank Group, to review and re-write the ‘Enforcement or Sanctions’ module of the IAIS Core Curriculum for Insurance Supervisors and is the accredited co-author of the module.
Keith is currently the Head of Compliance, MLRO and MLCO for an independent Trust Company in Jersey and is a regular contributor to regulatory working groups, providing expert practitioner input to assist with the development of regulatory standards.
Keith’s long and varied career gives him a rare mix of knowledge, skills and practical experiences that can be of benefit to others working in regulatory compliance or financial crime roles at all levels.