Graham has an extensive compliance background having spent over 13 years providing consultative services to authorised firms of varying sizes in a range of Financial Services sectors. Graham has been involved in and taken the lead in multiple FSA/FCA applications, general projects, conducting client reviews and work of a more bespoke and specialist nature.
Graham uses his previous industry and consulting experience to provide practical regulatory guidance and support both to a wide range of clients which include brokers, inwardly passported bank branches, fund operators and administrators, fund managers, private wealth managers, private equity and corporate finance firms as well as to other members of the team.
Prior to embarking on his consultancy career, Graham studied for three years at Swansea University, completing a law degree and subsequently going on to complete the Legal Practice Course at Guildford College of Law, for which he received a Pass with Commendation.
Graham holds the Diploma in Regulation and Compliance from the Chartered Institute for Securities and Investments and is looking to complete the two further modules of this diploma in order to qualify for the Diploma in Investment Compliance.