Amanda De Carteret
Prior to joining LMRR in December 2022, Amanda spent over 12 months assisting compliance teams at several different investment firms. This experience gained her practical knowledge of creating and implementing compliance monitoring programmes, filing regulatory notifications and returns, and reporting to Boards on compliance matters.
As a regulatory consultant at BDO Limited, Amanda was responsible for developing business strategy and client relationships, as well as providing good quality advice and assistance to firms on a broad range of regulatory matters, including undertaking independent reviews on aspects such as governance, compliance monitoring and the provision of corporate directors.
Between 2007 and 2019 Amanda gained invaluable regulatory experience working in the Investment Business Division at the Guernsey Financial Services Commission. Firstly as a Senior Analyst and latterly as an Assistant Director, where she was responsible for supervising the activities of both investment licence holders and regulated collective investment schemes. She has extensive first-hand knowledge of the GFSC’s PRISM Risk Based Supervisory Framework and played a role in the establishment of Guernsey’s AIFMD opt-in regime.
Between 1989 and 2007, Amanda held various roles at a private bank in Guernsey. Before her departure she was responsible for the on-boarding of new clients, maintaining CDD records, performing periodic reviews and monitoring transactions.
Amanda is a Chartered Fellow of the Chartered Institute for Securities & Investment and has been awarded the CISI Diploma in Investment Compliance. She has also been awarded Certificates by the CISI in Investment Operations, Risk in Financial Services and Global Financial Compliance.