At Waystone, Marcus is responsible for delivering a comprehensive second line of defence to support the firm’s management in ensuring that risks and controls are effectively managed and that all regulatory and legal obligations are adhered to.
Previously, in 2013, Marcus joined T. Bailey and became Chief Risk and Governance Officer in January 2021. Marcus joined the T. Bailey Board in April 2022 and leads the Compliance and Risk teams in Nottingham. Marcus also acts as Money Laundering Reporting Officer (MLRO), overseeing the firm’s adherence to anti-money laundering rules and legislation to combat financial crime. He oversees all compliance activities and projects across the firm and is an integral part of our risk management framework, providing advice and support to implement and manage regulatory and operational change across fund governance, client money, AML, Consumer Duty, SUP, COBS, and all other applicable rules and regulations.
Marcus is Chair of the Risk Committee and AML Forum and is a member of the Fund Governance Committee and Client Money Forum.
Previously, Marcus spent eight years heading up the Compliance departments of two national retailing stockbroking firms.