Lisa Walker Joins ING as Head of Compliance, UK and Middle East

ING has appointed Lisa Walker has its new Head of Compliance for the UK and Middle East, reporting to Simon Berg, Chief Risk Officer for the same regions. Walker previously worked at HM Treasury and the FCA where she managed the relationships with investment exchanges. Most recently, she was Head of Market Regulation at a start-up stock exchange, IPSX. Prior to this, she was Head of Compliance, UK & Europe for Australia and New Zealand Banking Group (ANZ). At ING, she will be responsible for driving the compliance culture within the Wholesale Banking London and Dubai offices and providing strategic regulatory guidance.

BTON Financial Makes Two Strategic Hires

BTON Financial, an automated outsourced trading desk for asset managers, has appointed txo new strategic hires to meet the growing demand for its services. Charles Phan, an experienced hedge fund CTO, quant strategist and trader joins as Chief Technology Officer to drive the firm’s technology strategy and delivery; while Caroline Holmes, a regulatory expert and change management specialist with extensive asset management experience, joins as Head of Business Development to act as a conduit between clients, technology and sales teams to support swift onboarding for asset managers.

Brett Schechterman Leaves Rimes for IHS Markit

IHS Markit has hired asset management technology expert Brett Schechterman as the Global Head of cross-asset class investment management platform thinkFolio. Schechterman will report to Senior Vice President and Head of Solutions Andrew Eisen. He was formerly Head of Fixed Income Platform Solutions at UBS Asset Management and has also held senior roles at Legal & General Investment Management America and Goldman Sachs Asset Management. He joins He joined IHS Markit from Rimes, where he was North American Head of Product.

Patrick Ludden Joins Kaizen Reporting

Patrick Ludden becomes the latest senior hire to join the Kaizen team. Ludden will be a Regulatory Reporting SME, bringing with him over 25 years of extensive experience in finance, operations and technology functions. Previous to joining Kaizen, Ludden spent six years providing regulatory reporting expertise to HSBC Global Markets and prior to that, working on reporting implementation and control projects for major investment banks.

“Regulators have been clear that they are increasing their scrutiny of regulatory reporting data quality, so by increasing our pool of reporting experts we can continue to meet the increasing demand from our customers for high quality advice,” says Kaizen CEO Dario Crispini.

Tony Freeman Departs DTCC

Tony Freeman, former Executive Director of Government Relations at DTCC, has left the company. A respected European regulatory expert, Freeman joined DTCC in April 2019 to focus on policy issues, and was heavily involved in the firm’s response to Brexit, as well as responsible for relationships with UK regulators and policy makers. He previously worked with Omgeo and JP Morgan Chase. His LinkedIn now describes him as a Consultant in the City. “Tony Freeman left DTCC to pursue new opportunities,” said a DTCC Spokesperson. “We thank Tony for his valuable contributions and wish him continued success in the future.”

Advocacy Body GDF Announces New Partnership, Team Members

Global Digital Finance (GDF), an industry body advocating and accelerating the adoption of digital assets, has partnered with Washington-based advisory and advocacy firm FS Vector and announced four new senior appointments to boost its global policy and regulatory affairs capability. John Beccia of FS Vector will now lead US Regulatory Affairs for GDF, while European public policy specialist Lavan Thasarathakumar of Thasa Consulting, who is also a consultant at GDF founding member Hogan Lovells, will take ownership of EMEA Regulatory Affairs. Malcolm Wright, Chief Compliance Officer of digital asset financial services and advisory company Diginex, has been elected Chair of the GDF member based Advisory Council. He is joined by Bryony Widdup, a Partner at DLA Piper, who will lead the Advisory Council Secretariat responsible for the GDF Code of Conduct.

Aquis Exchange Appoints New Consultant David Buik

Pan-European cash equities trading business Aquis Exchange has appointed well-known market commentator David Buik as a Consultant, starting March 2, 2020. Buik started work at Philip Hill Higginson Erlangers in the City of London and later worked for City Index Group, Cantor Fitzgerald and BGC Partners, and most recently Core Spreads. “I am delighted to be joining Aquis Exchange at this juncture. Anyone who knows me will know of my adoration for the City of London, and I truly believe that Aquis has created an exciting, disruptive new way of trading that will change the way we deal in equities to the benefit of the shareholders,” he says.

Kamlesh Harry Joins ACA Compliance Group, Launches New Risk Assessment Service

Former JP Morgan executive Kamlesh Harry has joined ACA Compliance Group as Senior Principal Consultant heading up the firm’s ACA Aponix division (which focuses on cybersecurity, privacy, and risk). The group today released its new payment and fraud risk assessment (PFRA) offering, overseen by Harry, which is designed to help firms identify and remediate vulnerabilities within payment flows in order to reduce the risk of costly fraud issues.

“ACA Aponix strongly believes that a team built with extensive knowledge of payment fraud and other cyber risks will provide our clients with a unique, well-rounded approach to risk management,” said James Tedman, Partner at ACA Aponix. “Kamlesh will be instrumental in developing our PFRA offering and serving as an invaluable resource to our clients in helping them assess and protect their firm against payment fraud.”

Alan Samuels Joins Encompass Corporation

KYC specialist Encompass Corporation has appointed Alan Samuels to the position of Head of Product, leading the firm’s global product team. He joins from Exiger, where he was VP and global head of DDIQ. He was previously head of entity verification services at Bloomberg KYC and head of reference data services at Opus-Alacra. “At a time when increasingly stringent regulations necessitate more efficient and effective solutions than ever before, Encompass is being sought out by the market to help firms respond,” says Encompass VP Alex Ford. “Alan is a recognised KYC industry professional and the ideal product leader for us.”

Broadridge Appoints Chris Perry President

S&P 500 firm Broadridge Financial Solutions has appointed Chris Perry as President, effective March 2, 2020. Perry currently leads Broadridge’s Global Sales, Marketing and Client Solutions organization, and is taking over the role from Broadridge CEO Tim Gokey, who remains CEO and a Director of the Company. Following the appointment, Perry will expand his current responsibilities to take a stronger role leading Broadridge’s top clients and partners, overseeing Broadridge International, and coordinating Broadridge’s overall growth strategy. He joined Broadridge in 2014 and has more than 25 years of experience in banking, brokerage and financial information services. He oversees all client and market-facing activities globally and is responsible for delivering the company’s annual sales targets spanning all business units and product lines. Under his leadership the firm has posted six years of consecutive record-setting sales.