Nina specialises in providing managed compliance services to FCA regulated firms using the CCL C.O.R.E platform. Nina is the key expert in helping firms implement the C.O.R.E platform and the policy library appropriate for the firms business profile and regulatory permissions. Nina works closely with our clients to undertake their compliance monitoring and provide bespoke advice to enable them to set up a robust compliance framework.
Following extensive research into the Senior Management and Certification Regime (SM&CR), Nina has the knowledge and foresight on how both solo regulated and dual regulated firms can fulfil these obligations. Nina has also worked closely with firms on MiFID II and helping clients update their policies and procedures in line with the new regime. In addition, Nina provides MiFID II monitoring services to give firms assurance that they have implemented the regime correctly.
The combination of Nina’s technical and regulatory expertise means she can work closely with software developers on continuously updating the CCL C.O.R.E Platform and aligning it to regulatory change.
Nina started her career in Compliance as the first CCL intern in 2002 during the time of N2 where she quickly learnt what was then the FSA Handbook. After two years, Nina went on to join German investment bank Dresdner Kleinwort Wasserstein where she worked as a Compliance Risk Monitoring Analyst for three years and in the Control Room for three years. In 2009, Nina joined Mitsubishi UFJ Securities where she was the Head of the Control Room for six years.
Nina re-joined CCL in 2015 bringing with her wealth of experience ranging from the market abuse regime, conflicts of interest, short selling and disclosures, approved persons and compliance system implementations.
Nina is a graduate of the Queen Mary University of London where she gained a BSc (HONS) in Business Economics, she then won a scholarship to study a masters degree at the London School of Economics and Political Science where she studied Information Systems.
Recent work includes:
- Client base covers all types of regulated firms
- Successful CCL C.O.R.E compliance platform implementation across our client base
- Set up of Compliance infrastructure for firms including asset managers, fund managers, investment managers and banks.
- Compliance monitoring reviews and remediation
- Approved persons applications on CONNECT
- Non-Financial GABRIEL Returns
- Senior Manager and Certification Regime (SM&CR) reviews and implementation
- Preparing documentation and CCL C.O.R.E Senior Manager and Certification Regime
MiFID II reviews and policy updates