Open to opportunities

Julie Archer

@juliearcher2

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Experienced Senior Compliance Officer with a focus on regulatory excellence.

United Kingdom

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What I'm looking for

I seek a role that values compliance excellence and offers opportunities for leadership and 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 excel in regulatory compliance and risk management. My journey began in trade support and middle office roles, and I have since specialized in compliance oversight, where I have successfully managed teams and led key initiatives.

As a Senior Compliance Officer, I have overseen the daily management of compliance operations, ensuring that our policies align with current regulations. I take pride in my ability to foster strong stakeholder relationships and navigate complex regulatory landscapes. My proactive approach has consistently delivered results, enhancing compliance frameworks and driving a culture of excellence within the organization.

Experience

Work history, roles, and key accomplishments

Current

Senior Compliance Officer

Current

TTG Capital Limited

Feb 2019 - Present (6 years 6 months)

Oversaw daily management of the Compliance Department, ensuring policies and procedures aligned with current regulations. Provided advisory support across all areas of the firm and maintained direct communication with the FCA, exchanges, and clients on regulatory issues.

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

Operations Regulatory Reporting Analyst / Senior Associate

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.

Regulatory Reporting CFTC ASIC MiFID II Stakeholder Engagement 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. Provided regulatory reporting, transaction oversight, and risk assessments, working closely with senior management, trading desks, and external regulators.

Regulatory Compliance CFTC Risk Management KYC Due Diligence Policy Implementation

Regulatory Reporting / Disclosure of Interest – Operations 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 trade support functions within the markets division.

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 smooth execution and settlement of trades. Collaborated with sales desks to facilitate efficient trading operations.

Trading Support Trade Execution Financial Markets Operations

Sales Desk Assistant / KYC for Alternative Execution Services (AES)

Credit Agricole Cheuvreux International Limited

Jul 2007 - Oct 2009 (2 years 3 months)

Assisted the sales desk and managed KYC processes for Alternative Execution Services (AES). Supported client onboarding and ensured compliance with regulatory requirements.

Sales Desk Assistant KYC Alternative Execution Services Onboarding Regulatory Compliance Financial Services

Middle Office Trade Support

Credit Agricole Cheuvreux International

Mar 2005 - Jul 2007 (2 years 4 months)

Provided middle office trade support, ensuring the accurate and timely processing of trades. Collaborated with front and back office teams to resolve trade-related issues.

Middle Office Trading Support Trade Processing Financial Operations

Middle Office Trade Support

HSBC Investment Management Limited

Oct 2000 - Mar 2005 (4 years 5 months)

Managed middle office trade support functions, contributing to the efficient operation of investment management activities. Ensured data accuracy and compliance with internal procedures.

Middle Office Trading Support Investment Management

Dealing Room Assistant / Settlements

King & Shaxson Bond Brokers

Mar 1999 - Oct 2000 (1 year 7 months)

Assisted the dealing room and managed settlement processes for bond transactions. Ensured accurate and timely completion of trades and related financial operations.

Settlements Bond Broking Operations

Education

Degrees, certifications, and relevant coursework

Bromley College

GNVQ Advanced Business Studies, Business Studies

Completed a GNVQ Advanced Business Studies program, achieving a Merit. This qualification is equivalent to two 'A' Levels at grade C.

St Saviours' & St Olaves'

GCSE Passes, General Studies

Achieved 8 GCSE passes with grades A-C, including B grades in Mathematics, English Literature, and Double Science. This foundational education provided a strong academic base.