Mark Winters

Expertise

Mark has extensive expertise in all aspects of FCR assurance and advisory services.

His experience includes local, regional and group CF11 / SMF 17 (Money Laundering Reporting Officer (MLRO)) and Chief Compliance Officer type roles, leading FCR Audit and Investigations teams and Anti Bribery departments. Mark, more recently, has undertaken CRO roles for various FinTechs, digital banks and RegTech firms.

Mark has led risk and compliance functions for various types of firms. He has also conducted detailed due diligence for, and on behalf of, these types of firms.

Mark Advises On

Authoring, reviewing, socialising and implementing FCR systems and controls including:

• Risk assessments
• Policies and procedures
• Training
• Alert management and optimisation
• Recruiting and managing teams to run business as usual and remediation project

Experience highlights

• Worked with an independent monitor on behalf of the US Department of Justice for a global bank determining if the risk and compliance systems and controls deployed were adequately designed, suitably implemented and effectively operated
• Conducted similar reviews for, and on behalf of, Barclays, HSBC, Lloyds Banking Group, Habib Bank and others on their clients’ AML systems and controls.
• Assisted on a long term, retainer type assignment for a large global accountancy firm’s MLRO in the redesign of its internal FCR systems and controls, and provided monitoring and testing of the same addressing UK, BVI and Cayman FCR systems and controls.
• Currently assisting a number of cryptocurrency firms such as ICONOMI and eToro.