Grace Aimilie Du’Arte-Dulaine

Expertise

Grace has over 20 years’ experience in financial services across asset management, banking and insurance. She brings a unique skill set having acquired her knowledge and expertise at a range of firms including the Financial Services Authority (now the Financial Conduct Authority) and the Financial Ombudsman Service. Grace prides herself on providing practical and pragmatic regulatory solutions to often complex and challenging situations while at the same time applying a high standard of regulatory compliance.

Grace has held a variety of roles both within the industry and in regulation which has given her a unique insight into financial services across a wide range of disciplines, from retail banking, asset management and private banking, to wealth management, platforms and insurance.

Experience Highlights

• Drafting Compliance policies and procedures
• Developing a tailored Compliance Monitoring Plan
• Preparing for and implementing US launch
• Financial Promotions approvals
• Gifts & Entertainment approvals
• PA Dealing approvals
• Risk Management systems and controls
• Rules mapping
• Risk and Control Self Assessments
• Risk Register development
• Liquidity monitoring processes
• Investment Risk processes
• Operational Due Diligence
• Operational Risk Management
• Governance design (including developing ToRs)
• MiFID II, AIFMD, UCITS advice and guidance

Career History

Previous Law Firms

• Rigg-Wright Associates Inc Ltd (2019 – 2021)
• Eversheds Sutherland (2018 – 2019)
• Man Group (2016 – 2018)
• Russell Investments Limited (2016)
• KPMG (2011 – 2016)
• Financial Services Authority (FSA) (2005 – 2010)
• Financial Ombudsman Authority (FSA) (2004 – 2005)
• Charcol (2002 – 2003)
• HSBC (2000 – 2002)
• Abbey National (1997 – 2000)