Open to opportunities

Julie Archer

@juliearcher

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Experienced Senior Compliance Officer with a strong regulatory background.

United Kingdom

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What I'm looking for

I am looking for a role that values compliance excellence and offers opportunities for leadership and professional growth.

With nearly 27 years of experience in the Investment Banking, Broking, and Trading environment, I have developed a versatile skill set that has allowed me to progress from trade support roles to specializing in regulatory compliance and risk management. As a Senior Compliance Officer, I oversee compliance programs and lead key initiatives while providing guidance across departments to ensure regulatory alignment.

I am recognized for my proactive approach and ability to navigate complex regulatory landscapes, consistently delivering results that exceed expectations. My leadership experience includes managing a team of compliance professionals and acting as a liaison with traders, brokers, and regulators to foster collaboration and ensure seamless compliance alignment.

My commitment to enhancing compliance frameworks and driving a culture of excellence is evident in my ability to implement effective controls and streamline processes. I take pride in my strong stakeholder relationships and my dedication to supporting business objectives while maintaining the highest standards of regulatory compliance.

Experience

Work history, roles, and key accomplishments

Current

Senior Compliance Officer

Current

TTG Capital Limited

Feb 2019 - Present (6 years 3 months)

Led regulatory inquiries across UK, European, and US jurisdictions, including FCA STOR visits, exchange requests, and RFIs, ensuring timely and accurate responses. Managed and mentored a team of two compliance professionals, fostering a culture of accountability and collaboration. Drafted, maintained, and implemented key policies and procedures, including AML, KYC, MAR, and Compliance Monitoring P

Regulatory Compliance Risk Management Policy Development Team Leadership Stakeholder Engagement FCA Connect RegData AML KYC

Operations Regulatory Reporting Analyst

Societe Generale International Ltd

Jun 2015 - Feb 2019 (3 years 8 months)

Managed multi-jurisdictional reporting requirements as a Senior Associate, ensuring adherence to EMIR, Dodd-Frank, MiFID II, ASIC, and CFTC regulations. Collaborated with internal teams, external regulators, and industry bodies to strengthen the regulatory reporting production framework and improve processes. Provided KPI/KRI reporting to senior management, offering insights into reporting trends

Regulatory Reporting Dodd Frank MiFID II ASIC CFTC KPIs Process Improvement

Regulatory and Exchange Reporting Associate

ADM Investor Services International Ltd

Oct 2012 - Jun 2015 (2 years 8 months)

Responsible for regulatory monitoring within the Compliance Department, ensuring adherence to FCA, EMIR, and CFTC regulations. Conducted biannual MiFID transaction reporting audits, ensuring full traceability from FCA samples to internal systems. Managed CFTC reporting, including special account number generation, large trader reports, and SIPP account projects.

Regulatory Compliance Risk Assessment CFTC KYC Due Diligence

Regulatory Reporting Support

Morgan Stanley Unicredit Bank AG

Mar 2012 - Sep 2012 (6 months)

Supported corporate and investment banking operations, focusing on regulatory reporting and disclosure of interest. Assisted with market trade support functions. Ensured compliance with relevant regulations in a fast-paced banking environment.

Regulatory Reporting Disclosure Of Interest Support Operations Trading Support Investment Banking

Equity Trade Support

Mariana Capital Markets Limited

Jun 2010 - May 2011 (11 months)

Provided equity trade support, ensuring accurate and timely processing of trades. Assisted the sales desk with administrative tasks. Supported KYC processes for Alternative Execution Services (AES).

Trading Support KYC Alternative Execution Services Trade Processing Administrative Support

Middle Office Trade Support

Credit Agricole Cheuvreux International Limited

Mar 2005 - Jul 2007 (2 years 4 months)

Provided middle office trade support, ensuring smooth post-trade operations. Managed and resolved trade-related issues. Collaborated with front office and back office teams to ensure trade accuracy.

Middle Office Trading Support Financial Operations Collaboration

Middle Office Trade Support

HSBC Investment Management Limited

Oct 2000 - Mar 2005 (4 years 5 months)

Provided middle office trade support for investment management operations. Ensured accurate and timely processing of investment trades. Collaborated with various departments to resolve discrepancies and maintain operational efficiency.

Middle Office Trading Support Investment Management Trade Processing

Dealing Room Assistant

King & Shaxson Bond Brokers

Mar 1999 - Oct 2000 (1 year 7 months)

Assisted in the dealing room operations, supporting bond brokers. Managed settlements processes, ensuring timely and accurate completion of transactions. Contributed to the smooth functioning of the bond brokerage.

Dealing Room Operations Settlements Financial Operations Administrative Support

Education

Degrees, certifications, and relevant coursework

Bromley College

GNVQ Advanced Business Studies, Business Studies

Achieved a Merit in Advanced Business Studies, equivalent to two 'A' Levels at grade C. This program provided a strong foundation in business principles and practices.

St Saviours’ & St Olaves’

GCSE Passes, General Studies

Obtained 8 GCSE passes at grades A-C, including B grades in Mathematics, English Literature, and Double Science. These qualifications provided a comprehensive secondary education.