Chief Operating Officer & Chief Compliance Officer
Cederberg Capital Limited — London, Shanghai, Hong Kong
2019–present
I oversee FCA, SEC, and SFC-regulated investment and sub-investment managers for Greater China and emerging-markets strategies. I report to the CEO and serve on the Executive Committee. I’m responsible for operations, compliance, risk, technology, and facilities for the firm. I hold SMF3, SMF16 and SMF17 at the FCA, and the MIC for Operations and Compliance at the SFC; SEC Access Person.
- Alongside the CFO, I built and led the establishment and launch of Cederberg Capital Asia Limited, a Hong Kong investment manager, securing the SFC Type 9 (asset management) licence; entity, regulatory permissions, operating platform, and local control framework from a standing start
- Managed SEC and SFC approvals as part of regulatory oversight spanning four jurisdictions, including two RIA applications and the SFC Type 9 licence. Built and ran the compliance control framework — procedures, monitoring, reporting, and regulatory references covering the UK, US, Cayman and Hong Kong/Greater China.
- Full build-out and delivery of new London head office end-to-end — on time and on budget.
- Owned the full trade lifecycle across cash equities, swaps and derivatives (US/EU/Asia/EM). This covered new product and market support, pre-trade, execution, settlements, reconciliations, NAV oversight, monitoring and reporting. With a focus on efficient and scalable operations, executed multiple custodians, PB, and counterparty onboarding and offboarding, as well as Fund Admin transitions, for an increasingly institutional investor base.
- Relationship management with core vendors and counterparties. Establishing and monitoring SLAs and service delivery, including commercial and term negotiations and regular to-market reviews.
- Responsible for firm-wide technology end-to-end. Systems governance, vendor and platform selection, enterprise AI implementation, cybersecurity, infrastructure, market and reference data architecture, OMS support, in-house development release cycles, and BCP/DR. Designated Data Protection Officer.
- Served on the Executive Committee, overseeing firm strategy across all areas including hiring, HR and team culture. Responsible for multiple functional operating budgets with full cost accountability.
- Partnered with the CFO and IR team on fund management and client-facing delivery; investor presentations, marketing materials, due diligence requests and DDQ documentation, and ad hoc investor and consultant queries.
Partner, Head of Operations
Prism Financial Partners LLP — London & New York
2015–2019
Order-handling brokerage and trading analytics platform startup, specialising in exchange-traded derivatives (primarily rates) for large buy-side clients. Reporting to the CEO; member of the senior management team during a period of exceptional growth.
- Designed, built, implemented and ran a fully bespoke and greenfield automated reconciliation and MI reporting engine on a largely open-source production stack — pre- and post-execution, order handling, intraday and T+1 trade and position matching, settlement and finance — owning it end-to-end through the firm’s rapid growth.
- Owned the Prism Group technology platform (excluding front-end analytics development): infrastructure platform, outsourced support services, market and external connectivity, trading networks, data architecture, software release and upgrade cycles, BCP/DR, and systems and vendor governance.
- Ran all operational aspects of the brokerage — reconciliations, client reporting, billing and invoicing — and, with the CCO and consultants, built out compliance and regulatory control frameworks including GDPR and full MiFID II / MiFIR readiness.
- Built and led the team through rapid growth as a Partner and senior-management-team member: standardised hiring, performance metrics, appraisal and remuneration policy, revenue attribution, and an internship and social-mobility programme.
- Drove business development of the firm’s proprietary analytics platform to a successful beta launch, working across sales, trading, quant and IT development in an Agile environment.
Operations, Operational Control & Compliance (Contract)
Duet Group — London & MENA
2015
Multi-strategy fund manager; commodities and long-only equities.
- Temporary contract role focused on delivery of process improvement, automation and control-procedure implementation across operations, fund accounting and compliance; implemented the Albourne OPERA reporting framework end-to-end, from specification to production.
- Project-managed external operational due diligence visits, coordinating IR, risk, legal and operations.
Head of Operations
Mako Group — London
2011–2014
Core function owner within a central-services model. Ownership of full in-house back and middle office plus the operations technology platform, supporting investment managers across HFT, systematic, market-making, proprietary and sales trading.
- Ran multiple teams delivering all information from point-of-execution on. This included fund administration, settlements, lending, brokerage, portfolio and trade reconciliations, cash and treasury management, EMIR/MiFID transaction reporting, tax payments and asset servicing.
- Owned the build and support of a proprietary platform for the ingestion, normalisation, reconciliation and onward processing of market, trading and reference data across all traded asset classes, feeding global front-office, risk and back-office systems.
- Matrix-managed teams across time zones. Led hiring, development, succession planning and remuneration.