Neal is an experienced compliance expert assisting with the drafting, updating, implementation and operation of internal regulatory and compliance policies and procedures for a range of firms within the financial services, legal and fiduciary sectors.
He has over 30 years’ experience in financial services, corporate governance and the fiduciary industry, including in stockbroking operations and within the company secretariat of a FTSE 250 listed company in the UK. The last 20 years have been in the offshore fiduciary and legal sector in both client services and regulatory compliance, holding the positions of Head of Compliance, Compliance Officer and Deputy MLRO. He has a broad range of regulatory compliance, corporate governance, AML/CFT and risk management skills and experience, relating to the Isle of Man, UK and Jersey.
Neal is a Fellow of both the Institute of Chartered Secretaries and Administrators/Governance Institute and the International Compliance Association, and a Specialist Member of the Institute of Risk Management (Corporate Governance).
Neal is also a former director of the Isle of Man Association of Fiduciary Service Providers and assisted on the drafting of the fiduciary industry sector specific guidance within the Isle of Man Financial Services Authority’s AML/CFT Handbook.
Former Board Member of the Association of Corporate Service Providers (“ACSP”)
|2017||Keystone Law | Compliance Manager|
|2016-2017||Royal Bank of Scotland International | Technical Analyst - Data Services and CDD|
|2016||Cains Fiduciaries Limited | Compliance Consultant|
|2015-2016||Appleby (Isle of Man) | Compliance Manager & Head of Business Support|
|2002-2015||Cains Advocates Limited/Cains Fiduciaries Limited | Head of Compliance, Compliance Officer and Deputy MLRO|
|1998-2002||PKF (Isle of Man) Limited | Trust and Corporate Services Assistant Manager|
|1996-1998||Ernst & Young | Chartered Secretary, Senior Administrator|
|1995-1996||EMAP plc | Company Secretarial Assistant|
|1994-1995||Nielson Cobbold Limited | Assistant Company Secretary|
|1989-1994||Tilney & Co | Assistant Departmental Head|
|1987-1989||BWD RENSBURG LIMITED | Clerk within Support Services Division|
|1986-1987||Chaytor Steel & Co | Trainee Chartered Accountant|