Jonathan Currie


Jonathan is an Executive Director at Effecta Compliance Ltd and brings over 20+ years of UK compliance and regulatory experience, having worked both in-house at regulated firms and on the LIFFE exchange, as well as being an external advisor and in-house compliance specialist within the UK and Hong Kong Financial Services industry. His experience within the financial services industry includes working internationally with and advising Banks, Hedge Funds, Private Equity/Venture Capital firms, Real Estate & Infrastructure firms, Corporate Finance advisors and Investment advisors/arrangers providing advice and assistance on all aspects of financial services regulation and compliance projects. With expertise including assisting Firms with their UK FCA authorisation and the required individual SM&CR approvals, Variation of Permissions, Change in Control applications etc. Also helping regulated firms with their general compliance support and regulatory advice, assisting firms with their regular compliance monitoring, oversight & independent reviews including health checks and assurance reviews, AML/KYC assistance and reviews, regulatory infrastructure reviews and compliance documentation production, in-house regulatory secondments and providing pragmatic ad hoc support and specialist advice. Jonathan’s experience of acting as an external adviser and an in-house compliance specialist provides a useful and valuable oversight for clients and includes understanding what is best practice on a local and international level, as well as what is practical and realistic for a Firm. Jonathan works across both Effecta Compliance UK Ltd. & Effecta Compliance Middle East Ltd.