Daniel, a Director within our Investments Division, joined the firm in December 2023 and is an experienced compliance professional with over 10 years’ experience working in the financial services industry. Daniel supports the Firm’s Investment Firms clients in a number of different ways, namely authorisation / registrations, ad-hoc regulatory advice, undertaking compliance monitoring reviews and delivering regulatory training.
Prior to joining Cosegic, Daniel worked as a Principal in Promontory Financial Group’s Wholesale Banking and Capital Markets practice where he supported clients on a number of key regulatory issues, specifically those related to market abuse, best execution and transaction reporting. Daniel also undertook several reviews that assessed the overall effectiveness of the firms’ Compliance governance and control frameworks and assisted firms in establishing, monitoring and executing large-scale remediation programmes following regulatory scrutiny.
Daniel also worked at KPMG in their Banking Authorisations Team where he supported non-EEA banking clients obtain authorisation from the FCA.
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