Nick is an Associate Partner and Chief Compliance Officer at Alvarium, with overall responsibility for compliance in the group’s regulated firms globally.
He has more than 30 years of experience in financial regulation and compliance as a regulator, advisor and practitioner. He previously held senior roles in: the Financial Markets Group at HM Treasury; the US National Association of Securities Dealers (NASD, now FINRA); the Investment Management Regulatory Organisation (IMRO, now FCA); the compliance advisory teams at Deloitte & Touche and Ernst & Young; and the Investment Managers Association (IMA, now The Investment Association). Latterly he was an independent compliance consultant specialising in advising both fund and asset managers and corporate finance firms. He was for some years a member of the British Venture Capital (BVCA) Compliance Committee. Nick holds a Master of Arts in Modern History from the University of Oxford.