Thornbridge’s team of specialists have broad experience across the investment management services spectrum.
James is primarily responsible for the set up and monitoring of the day to day interaction that Thornbridge appointed representatives have with their customers. He is RDR qualified and offers advice on the customer journey, the company website, payment portals, social media and all other marketing materials. He has been working in finance since 1987 and has a strong understanding of both the wealth and fund management sectors. James was a partner in the equities team at Cazenove & Co for many years and then a managing director in the funds team at JP Morgan Asset Management. James is a founding partner of Thornbridge.
Luke has experience working as a sales/execution trader covering fixed income and equities. He was most recently at RJ O’Brien as a VP of fixed income. Prior to this Luke worked at Mako Financial Markets and BGC Partners. He obtained a BSc (Hons) from Surrey University graduating with a first class in Economics and Finance. Luke has completed the CISI Capital Markets Programme passing modules in UK Financial Regulation, Securities and Derivatives.
Henry is responsible for fund trade and execution monitoring. He has 4 years of compliance experience, working across different areas of the function at a global oil and gas company. He has experience in KYC and financial crime prevention, as well as transaction monitoring, regulatory change and reporting. He graduated from the University of Nottingham in 2013, obtaining a Second Class (Division 1) in History and Politics BA and has subsequently obtained a Diploma in Financial Crime Prevention from the International Compliance Association.
Charlotte is a Compliance Manager alongside being RDR qualified and Head of Relationship Management. She joined Thornbridge in 2016 and is a member of the team responsible for the onboarding, due diligence, ongoing monitoring and supervising of appointed representatives. Charlotte also focuses on the management and development of the online Thornbridge Portal and is involved with the finances at Thornbridge. Charlotte obtained a Marketing and Management BA, 1st Class Honours from Newcastle University in 2015. Charlotte has been awarded the CISI Diploma in Investment Compliance and the CISI Investment Advice Diploma.
Alex is an analyst in the Investment Fund Services Team, assisting with regulatory reporting, trade surveillance and monitoring. She also provides support to the on-boarding and due diligence process for Investment Fund Services appointed representatives. Alex graduated in 2018 from Exeter University with a Second Class (Division 1) Honours in French and Italian and is studying towards the CISI Certificate in Investment Management.
Patrick has overall responsibility for the regulation and compliance of Thornbridge appointed representatives. During the past fourteen years Patrick has gained a wealth of experience in all aspects of fund regulation specialising in fund structuring, Part IV FCA applications and outsourcing FCA services to independent firms & individuals. Patrick obtained a BSc. from Bristol University in 1984. Prior to moving into fund management and compliance, Patrick worked in FX and capital markets, primarily with Citibank and Chemical bank. Patrick is a founding partner of Thornbridge.
Andy is responsible for risk management at Thornbridge. He began his career in financial technology in 1997 and has spent the past decade focussing on risk management, with projects covering credit, market and operational risk. Andy has worked across the spectrum of financial organisations including banking, private wealth, investment management and fintech. Andy’s experience prior to joining Thornbridge includes EY’s Quantitative Advisory Services & Risk Management practice, Deutsche Bank, Lloyds Banking Group and as a consultant to tier-one investment management firms and pension funds. He has a Masters in Finance from London Business School and a BSc in Cognitive Science from the University of Sheffield.
Emilia is a Relationship Manager focused on assisting with the on-boarding process, regulatory applications and the continual compliance monitoring of appointed representatives at Thornbridge. Emilia is also involved in operations and responsible for general office support. Having graduated from the University of Edinburgh in 2020 with First Class Honours in History of Art, Emilia is now studying towards the CISI Diploma in Investment Compliance.
Helen is a Senior Compliance Manager at Thornbridge and has over 15 years of compliance and financial crime experience gained in a variety of roles at major financial services firms, a ‘big 4’ consultancy firm and a secondment to the regulator. Helen was previously Head of Anti-Financial Crime Risk & Controls at Deutsche Bank AG and Head of Financial Crime – Assurance, Governance & Reporting at Santander UK, where she built and ran a team of 16. Helen was also MLRO at Northern Trust, covering custody, transfer agency and wealth management. More information
Tanya is an analyst in the Investment Fund Services Team, assisting with regulatory reporting, trade surveillance and monitoring. She also provides support to the on-boarding and due diligence process for Investment Fund Services appointed representatives. Tanya graduated in 2017 with an under-graduate Legal Theory and Economics degree and obtained a Second Class (Division 1) post-graduate degree in Financial Economics in 2018. Tanya is currently studying towards the CISI Certificate in Investment Management.
Richard joined the team as a Non-Executive Advisor in March 2020. He brings a wealth of experience across the investment profession, having established Stoneware Capital, an FCA-regulated investment manager, in 2006. He began his career in 1985, qualifying as a chartered accountant and becoming an audit manager with Arthur Andersen, before managing money for three of the largest global investment managers: Hermes Investment Management, Deutsche Asset Management and Northern Trust. Richard is a Fellow and prior Chairman of the Board of CFA UK, one of the largest member societies of the CFA Institute, which promotes professionalism and the highest ethical standards. He has acted as an expert witness, including for the FCA, and graduated from Cambridge University. He was awarded the Wincott Foundation Prize by AIIMR (a precursor of CFA UK) and chaired the panel which was responsible for the Investment Management Certificate during the IMC’s formative years.
Rosie is a Senior Relationship Manager and is RDR qualified. She joined Thornbridge in 2017 and focuses on appointed representatives in the investment fund side of the business and is involved in the on-boarding process, regulatory applications including non-routine individuals and ongoing compliance monitoring of appointed representatives. Alongside this, Rosie is responsible for PR, marketing and social media at Thornbridge. Rosie graduated from Newcastle University in 2016 with a Second Class (Division 1) Honours in English Language BA. Rosie has been awarded the CISI Diploma in Investment Compliance and the CISI Investment Advice Diploma.
Alice is a Relationship Manager with a focus on the regulation and compliance side of the business. She is responsible for the on-boarding process, regulatory applications and ongoing relations and monitoring of appointed representatives. Alice graduated in 2018 with a 1st Class Honours in Business Management from Newcastle University. Alice has been awarded the CISI Diploma in Investment Compliance and is studying towards the CISI Investment Advice Diploma.