Stephen Holt Email & Phone Number
Managing Director @ Regulatory Compliance Consultancy Ltd.
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Stephen Holt Location
- London, GB
Stephen Holt Work
- 2020 -now Managing Director @
- 2018 -2020 Director @
- 2015 -2018 Managing Consultant @
- 2009 -2017 External Technical Specialist @
- 2014 -2015 Senior Compliance Consultant @
- 2013 -2014 Compliance Consultant @
- 2011 -2013 Risk and Compliance Professional (Chartered FSCI) @
- 2010 -2011 Head of EMEA Regulatory Developments - UK Compliance Team @
- 2008 -2010 Vice President - EMEA Regulatory Developments - UK Compliance Team @
- 2007 -2008 Head of Complex Queries and Perimeter Guidance Team @
- 2003 -2007 Senior Associate - Complex Queries and Perimeter Guidance Team @
- 2000 -2003 Firms Supervisor - Wholesale Investment Firms Division @
- 1999 -2000 Manager - Pension Eligibility Assessment Team @
- 1998 -1999 Manager - Auditing, Quality Assurance and Risk @
- 1998 -1998 Manager - Technical Adviser for Strategy and Planning @
- 1998 -1998 Assistant Manager - Ex parte Board Review @
- 1996 -1998 Senior Claims Assessor - Equities, Debt and Derivatives Team @
- 1994 -1996 Claims Assessor - Equities, Debt and Derivatives Team @
Stephen Holt Education
- Blue Water Sailing School - Fort Lauderdale, Florida
American Sailing Association (Sailing Examination & Practical Learning)
2011-2013 - University of Wolverhampton
LLB Hons (Law)
1990-1993 - Stafford College, Stafford
Bachelor of Technology - Diploma (Business and Finance)
1988-1990 - Stafford College, Stafford
GCE - A Level (Law)
1989-1990
Stephen Holt Skills
- Alternative Investments
- Banking
- Liquidity Risk
- Fixed Income
- Corporate Finance
- Fund Administration
- Basel II
- Regulatory Analysis
- Enterprise Risk Management
- Settlement
- Portfolio Management
- Capital Markets
- Derivatives
- Financial Risk
- Investments
- Credit Risk
- Financial Regulation
- Strategy
- Financial Services
- Asset Managment
- Equities
- Wealth Management
- Mutual Funds
- AML
- Risk Management
- Asset Management
- Event Management
- Credit
- Operational Risk
- FSA
- Training Delivery
- Regulatory Change Management
- Corporate Governance
- Operational Risk Management
- Governance
- Market Risk
- Back Office
- Conduct Risk
- Global Custody
- Investment Banking
- Due Diligence
- Private Banking
- Hedge Funds
- KYC
- Middle Office
- Options
- Securities
- Financial Markets
- Investment Management
- Structured Products
Stephen Holt Summary
- Stephen Holt, based in London, GB, is currently a Managing Director at Regulatory Compliance Consultancy Ltd.. Stephen Holt brings experience from previous roles at ACA Compliance Group, Cordium and The Chartered Institute for Securities & Investment (The CISI). Stephen Holt holds a 2011 - 2013 American Sailing Association in Sailing Examination & Practical Learning @ Blue Water Sailing School - Fort Lauderdale, Florida. With a robust skill set that includes Alternative Investments, Banking, Liquidity Risk, Fixed Income, Corporate Finance and more. Stephen Holt has 2 emails and 1 mobile phone numbers on RocketReach.
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