Thornbridge’s team of specialists have broad experience across the investment management 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.
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 Head of Relationship Management and responsible for the on-boarding process, the preparation and submission of regulatory applications and the on-going compliance monitoring of appointed representatives. Charlotte is also 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.
Philip is a quantitative analyst supporting the investment management business, ensuring high quality in key processes such as market abuse monitoring, investment performance analysis and risk management. Philip graduated in 2018 from the University of Oxford with an MMath Mathematics degree.
Tanya 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. 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 her CISI Diploma in Investment Compliance.
Rosie is a Relationship Manager with a focus on the regulation and compliance side of the business. She has daily contact with appointed representatives and is responsible for the on-boarding process, regulatory applications and ongoing relations and monitoring of appointed representatives. Alongside this, Rosie is involved in PR, marketing and social media. 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 is currently studying towards the CISI Investment Advice Diploma.
Alice is a Relationship Manager involved in regulation and compliance through assisting with the appointed representative on-boarding process, applications and monitoring. Alice graduated in 2018 with a 1st Class Honours in Business Management from Newcastle University and is studying towards her CISI Diploma in Investment Compliance.