Career

I am a Chartered Fellow, Chartered Institute for Securities and Investment (FCSI).

I have been a stockbroker since 1975, my background has been predominantly focused on north-east Asia (Japan, Korea and China) and technology companies.

With over thirty five years in the financial sector and twenty years in senior managerial roles I have broad product and industry knowledge. I am able to rapidly learn about unfamiliar markets and issues. The ability to work across diverse cultures is important to me.

I have compliance and anti-money laundering skills, having held the FSA functions of CF10 and CF11. I have delivered internal corporate seminars on anti-money laundering awareness and treating customers fairly. In Feb 2012 I completed a US Dept of Homeland Security / FEMA course in Digital Forensics as part of a suite of Cyber Security training.

My recent career activity has also included Natural Resources (mining exploration, oil & gas), Clean-Technology and international real estate transactions in addition to my core knowledge of technology.

Recent undertakings have included:

  • Raising Capital
  • Compliance Officer / MLRO
  • The establishment of new sales desks in large corporations
  • Provision of investment services
  • Development of top tier clientele
I have advised the Financial Services Skills Council (FSSC) and the Qualifications and Curriculum Authority (QCA). I am also a Senior Editor of various professional workbooks for Chartered Institute for Securities & Investment (CISI). These include “Global Financial Compliance”, “Combating Financial Crime”, “Regulation and Professional Integrity”, “Securities and Derivatives” and for Sri Lankan students – “Learning About Investment”.
I am fluent in French and Spanish and have enough Russian to get by in Moscow!

I am currently studying for the Islamic Finance Qualification (CISI and École supérieure des études, Beirut).

LinkedIn profile: http://www.linkedin.com/pub/chris-bromby/9/3a6/473

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