iainrogers

Project managed FCA variation of permission – collaborated with legal/compliance, finance and external advisors to write regulatory business plans. Established UK operations, ensuring compliance with FCA regulations and group governance requirements whilst simplifying operating model. Collaborated with group management on outsourced services delivery and operational effectiveness. Established & delivered data driven reporting and MI, covering commercial, financial, and operational matters.

Drove a dramatic financial turnaround by slashing annual operating expenses from ~£18mio to ~£3mio within 2 years (83% reduction) while transforming annual losses exceeding ~£10mio into sustainable profits of ~£5mio. Owned remediation and transformation programme, coordinating regulatory, finance, operational, external partners and governance change. Executed transformation roadmap to exit non-core regulatory licence, simplify operating model, redirect revenue streams and restore sustainable performance. Partnered closely with FCA, finance, legal and compliance teams to ensure robust, compliant, future-ready operations. Resolved FCA S166 matters, successfully removing VREQ obligations. Optimised OPEX efficiency and integrated technology to automate processes.

Zero to ~£20mio of client funds in 2 years, Loss of ~£2mio to profit of ~£3mio in 2 years. Built foundations to deliver profits of ~£8mio in 2020. Led cross-border transformation programme supporting FCA and BaFin licensing, establishing new entities and operating model design, system readiness. Scaled operations from zero to fully operational in Berlin. Built operations, hiring and managing teams across compliance, sales, and finance. Worked with Product, Marketing and Technology teams to ensure client onboarding, reporting, and controls met regulatory and commercial requirements. Project managed re-launch of Pepperstone UK, migrating clients from ASIC to FCA license. Executed UK/EEA marketing campaigns and CRO initiatives, improving acquisition and retention KPIs.

Managed 10 EEA branches with ~50 employees, ensuring regulatory compliance and operational resilience. Directed Brexit Committee and developed contingency strategies for market and regulatory shifts. Implemented recommendations from FCA 'Dear CEO' letter, strengthening compliance and governance. Developed UK Sales & Marketing plan, driving new business growth and client engagement.

Acted as FCA-nominated officer for compliance and MLRO functions, maintaining full regulatory alignment. Developed and implemented risk-based compliance monitoring program across operations. Provided AML guidance and training to senior managers and staff, strengthening internal controls. Advised board and management on regulatory requirements and compliance obligations.

Built a proprietary trading operation into a regulated CFD advisory firm.