Kimmy is the Global Compliance Officer, overseeing the structure, processes and procedures of the compliance arrangements at Rayliant Global Advisors and Henderson Rowe.
Kimmy has extensive experience in compliance, specialising in asset managers, wealth managers and brokers. Prior to joining Rayliant Global Advisors and Henderson Rowe, she has undertaken various compliance roles across different financial institutions, most notably, Aberdeen Asset Management, AXA Investment Managers and Smith and Williamson.
Kimmy has spent five years at Henderson Rowe, a subsidiary of Rayliant Global Advisors. She is approved by the UK’s Financial Conduct Authority (FCA) to carry out the Compliance Oversight (SMF16) and Money Laundering Reporting Officer (SMF17) functions. As the SMF16, Kimmy assumes the day-to-day responsibilities for embedding compliance culture across the business and ensures compliance with the FCA regulations. As the SMF17, she has the overall responsibilities for identifying the risks relating to money laundering and financial crime and ensures that systems and controls are in place to mitigate those risks.
Kimmy has recently been appointed as the Chief Compliance Officer for Rayliant Global Advisors. Given the far-reaching compliance experience which Kimmy has, she has previously worked for investment companies which were Registered Investment Advisers and has worked under the U.S. Securities and Exchange Commission (SEC), in particular, the Investment Advisers Act of 1940. In the day-to-day operations, Kimmy is supported by SEC Compliance Solutions LLC (SCS), an external compliance consultant for Rayliant Global Advisors.
Kimmy holds a BA (Hons) in Banking, Insurance and Finance from the University of Wales, Bangor (now “Bangor University). She also holds MSCI status and various other professional qualifications from the Chartered Institute of Securities and Investments, including the Investment and Compliance Diploma.
Upon completing university, Kimmy had a choice to join either Virgin Atlantic’s cabin crew or the financial industry. Both could not be more different, but neither is without risk!