Compliance & Risk
Oliver
Specialist · No. 08
Specialist Profile · No. 08
MeetOliver Hartwell
Compliance Manager
Compliance & Risk
Specialist remit: Day-to-day compliance.
12+
Years of practice
02
Qualifications
02
Languages
Based inLondon, United Kingdom
Languages
EnglishSpanish
“Oliver runs the operational compliance programme, including monitoring, internal training and the firm's quarterly regulatory submissions..”
Oliver Hartwell · Compliance Manager
Background
Oliver runs the operational compliance programme, including monitoring, internal training and the firm's quarterly regulatory submissions.
He is the point of escalation for fee-earners on day-to-day compliance questions and chairs the monthly controls review.
Responsibilities
- 01Day-to-day compliance
- 02Transaction monitoring
- 03Training
- 04Regulatory reporting
Expertise
Monitoring & surveillanceInvestigationsRegulatory reporting
Experience
12+
Years of practice
Compliance & Risk
Department
London, United Kingdom
Based in
Inside the practice
Oliver at work
DC-SFrame 01Reviewing compliance documents at his desk
Frame 02Discussing a compliance matter in the meeting room
Frame 03Quick coffee break between reviews
Frame 04Reading a file in the corridor before the next meeting
Frame 05Mapping a compliance workflow on the whiteboard
Same department · Compliance & Risk
