Head of Compliance and Risk
James serves as Head of Compliance and Risk for the Alcentra Group. He is responsible for the oversight of the compliance and risk function and to ensure that the group complies with all relevant rules and principles, identifying key regulatory risks and ensuring effective controls are in place. These objectives are achieved primarily through advisory, monitoring, training and analytical activities.
James reports to the EMEA Head of Risk and Compliance of Bank of New York Mellon Investment Management and also has a reporting line into the President and Chief Operating Officer for the Alcentra Group, Daniel Fabian. James is also a member of Alcentra’s Executive Management Committee.
Prior to joining Alcentra, James was an Associate Director in the transaction team of Barclays Capital Asset Management. Prior to joining Barclays Capital in May 1997, James worked at HSBC Investment Bank where he spent five years working in various roles within the specialised financing support area. He has a further nine years’ experience within other financial services institutions.
James holds the Chartered institute of Securities and Investments Diploma in Investment Compliance.