Tracy Verdon

tracy-verdon1

Tracy Verdon

CONSULTANT

Tracy Verdon is a consultant with FSC.

Tracy started her compliance career with BGC International/Cantor Fitzgerald in 2008, initially within a Central role and then moving into a Compliance Monitoring Management function specialising in fixed income, rates, foreign exchange equities, equity derivatives, credit derivatives, futures and the structured product markets.

From 2009 to 2011 Tracy worked for a private independent investment bank, Fox-Davies Capital (now Brandon Hill Capital), specialists in the natural resource sector. As an approved person, Tracy held both the CF10 Compliance Oversight and CF11 Money Laundering reporting functions, and oversaw all aspects of the Equities business (having also been approved as a NOMAD for the alternative investment market by the London Stock Exchange during that period), and was involved with the setup of the then newly formed DVP Fixed Income Appointed Representative business, Lindisfarne Partners.

Since 2011, Tracy has been a Compliance Consultant to global Investment Banks, Investment Adviser firms (global equities), an EU full service Broker (Equity Research/Sales/Execution with a MTF), a leading provider of multi-asset class & real-time data, research & analytic firm, and at an online global trading platform service provider to trade CFDs across a range of asset classes. Tracy has held various CF10 & CF11 positions at some of these firms, and has been involved in policy writing, firm wide implementation of new legislation such as UK Bribery Act 2010, global training preparation and delivery, remedial programmes resulting from section 166, new business proposals and firm restructures, visits from the FSA/FCA and dealings with international regulators and exchanges.

Tracy holds the Chartered Institute of Securities and Investment (CISI) Diploma in Investment Compliance and is a Chartered Fellow of the CISI. Tracy is Canadian qualified as Exempt Market Dealer and was registered with the Ontario Securities Commission as both Dealing Representative and Chief Compliance Officer. She is a member of the Securities Industry Management Association (SIMA) and the Securities Houses Compliance Officers Group (SHCOG).