Jon Warwick
Associate Director | Risk Advisory | Non Financial Regulatory Reporting
Jon specialises in providing regulatory advice across the financial services industry
Jon has over 15 years experience within financial services and has worked at top tier investment firms in roles primarily focusing on non-financial regulatory reporting within regulatory operations, operational risk and operations compliance advisory. Jon has detailed knowledge of and practical experience in the application of the following regulations; MIFID (Transaction Reporting & Post Trade Transparency), EMIR Reporting, CFTC Reporting (Part 43/45) & Part 20 Large Trader Reporting, Security Based Swap Reporting, Securities Finance Transaction Reporting (SFTR), MAS Reporting and various central bank reporting requirements.
Jon has recently been involved in the following projects across both sell and buy side firms:
- Developed MIFID, EMIR, SFTR and MAS control models
- Performed governance and control framework reviews
- Built a quality assurance testing framework for EMIR Reporting, MIFID (Transaction Reporting & Post Trade Transparency) and SFTR requirements
- Documented business requirements for firms impacted by MIFID, EMIR, SFTR, MAS and CFTC reporting obligations