I am a qualified as a solicitor with over 10 years’ experience, for the past 6 years I have undertaken a senior management role in a large international financial services group which is regulated in multiple jurisdictions across Asia and the Middle East. Since joining I have been pivotal in many areas including changing the structure of
I am a qualified as a solicitor with over 10 years’ experience, for the past 6 years I have undertaken a senior management role in a large international financial services group which is regulated in multiple jurisdictions across Asia and the Middle East. Since joining I have been pivotal in many areas including changing the structure of the companies and bringing new corporate governance and oversight measures into place. As well as risk identification and compliance procedures. I report directly to the Board and more specifically to the CEO.
I have also spent a considerable part of my time managing the group’s operations department which consists of over 30 people internationally. Hence, I have improved not only my team management skills but part of that was to co-ordinate the choosing of the supplier, design, installation and onward training of a replacement integrated CRM, marketing and client portal system for the entire group.
Independent Consultant @ Defended s166 complaints
Review compliance systems and structures
Review compliance and AML manuals and procedures
Assist in making new applications From July 2009 to Present (6 years 6 months) Head of Group Legal and Compliance @ Accomplishments
o Acting as named compliance oversight manager for the local compliance teams under local regulators such as SFC (Hong Kong), MAS (Singapore) and SCA (Dubai).
o Assisted in implementing Compliance Monitoring Plans and Risk mapping/stressing testing.
o Act as oversight manger on existing products in order to determine if any might fall into legal or commercial difficulties. Additionally, provide reports on gated and collapsed funds/products to senior managers and local compliance managers.
o Presented on several topics to directors, compliance managers and local teams including data protection, corporate governance, AML and FATCA.
o Acting as group company secretary.
o Handled all group legal matters in the various offices including Hong Kong, Dubai, Singapore and Jakarta using external counsel/advice where required.
o Liaison with all local operations, compliance managers and operations/sales managers.
o Principle point of contact with all external suppliers of legal and compliance services.
o Conducted regular reviews of products and providers as well as maintain an over-watch programme using media capture to pre-empt where possible any liquidity issues.
o Managed legal relations with funds that were gated, involved in legal actions including liquidation or similar so as to advise sales teams, senior managers and end of line clients as to current situation and next steps.
o Cleaned up existing and implemented a detailed corporate governance structure with the group.
o Managed several international litigation cases using external counsel.
o Managed an internationally based team of 35 people
o Team managed such areas as MI, Data management, marketing, commission/fee reconciliation/audit and accounting.
o Managed Group Operations teams including commission reconciliation, pipeline management, dealing, data management coordinators, marketing and MIS reporting. From 2009 to January 2015 (6 years) Snr Partner and Head of Corporate, Commercial and Financial Service @ • In 2005 I joined els when it had only a Spanish office since then I developed the practice into a competitive boutique law practice in central London.
• I undertook work from funds, hedge funds and financial institutions on a global scale (including off-shore) as well as more local institutions such as banks, wealth management companies, fund administrators, IFA’s etc.
• Established a regulatory compliance training department within the group helping small and medium sized companies with regulatory issues including set up, audit, enforcement and general operations.
• Structured and implemented a Tax Department dealing with high end SDLT mitigation schemes.
• Dealing with mid-sized M&A including acquisitions ranging from £400k to £30m.
• Drafting and negotiating commercial contracts including outsourcing, IT, SLA, NDA and Media agreements. From July 2005 to September 2009 (4 years 3 months) London, United Kingdom
Bachelor's Degree, Law, 2.2 @ University of Hertfordshire From 1996 to 1999 Darren Dale is skilled in: Legal Research, Legal Compliance, Corporate Governance, Legal Documents, Regulatory Compliance, Compliance Management, Legal Advice, Anti Money Laundering, Risk Management, Mergers & Acquisitions, Company Law, Solicitors, Corporate Law, Financial Services
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