Lisa Ritchie is an experienced compliance consultant with an in-depth knowledge of wealth management and private banking, gained from her time working in the UK and in the UAE. As part of the outsourcing team, Lisa specialises in supporting financial services organisations in the DIFC and the ADGM to ensure that they comply with their day-to-day regulatory obligations.
Previously, Lisa worked as a Business Support Manager for Arbuthnot Latham & Co. Ltd, a private bank in the UK, specialising in private banking, wealth management and discretionary investment management. In this role, Lisa was responsible for undertaking First Line of Defence (FLOD) testing and assisting with the development of processes and procedures. Previously, Lisa worked with Adam & Company as a Private Banker where she managed a portfolio of high-net-worth clients.
Lisa holds a Diploma in Investment Advice, a Certificate in Paraplanning and a Certificate in Global Financial Compliance with the Chartered Institute for Securities & Investment (CISI) where she is a Chartered Member. She is also an Associate Chartered Banker with the Chartered Banker Institute (CBI) where she also holds Mortgage Advice and Practice Certificate.
Recent work includes:
- Acting as Compliance Officer & Money Laundering Officer to firms in the DIFC.
- Assisting applicants to obtain DFSA and ADGM authorisation, including the provision of a compliance framework, in-line with regulatory requirements.
- Conducting compliance monitoring programmes for firms within the DIFC and the ADGM.
- Providing ongoing AML and compliance support including reviews of firms’ compliance manuals, policies and procedures.
- Conducting gap analysis of adherence to the DFSA’s thematic review findings on suitability.
