Lewis is adept in an array of compliance issues and specialises in consultation and interpretation of the DFSA Rulebook as well as matters pertaining to AML and Financial Crime. With an extensive knowledge of legislation and best practice in his specialised areas, Lewis is able to analyse all financial firm types systems and controls and swiftly recognise areas of concern. In remedying deficiencies Lewis works with the client to construct and implement a robust and relevant compliance/AML framework that can be comfortably managed for years to come.
Lewis has a collaborative working style, in which he develops strong professional relationships with senior stakeholders. Experienced at delivering compliance training, Lewis ensures that staff at all levels of the business know their responsibilities and the importance of his role.
Lewis joined CCL in 2011 having already held senior roles within the brokerage compliance sector in the UK and UAE. Since joining CCL, Lewis has performed the outsourced Compliance Officer and MLRO function for a number of DIFC firms, including Brokers, Asset Managers and Corporate Finance Service Providers, across DFSA prudential categories 3A, 3C and 4.
As a leading member of the CCL FinTech Team, Lewis hosts a Compliance Clinic in conjunction with the FinTech Hive at DIFC. The Compliance Clinic gives the opportunity for DIFC FinTech firms to seek regulatory advice associated with FinTech products. Such advice is considered niche in the region and so Lewis makes every endeavour to keep abreast of the changes that FinTech is having on the regulatory environment across the region.
Recent Work includes:
- Pioneering the FinTech Hive at DIFC Compliance Clinic
- Project leader for the authorisation of a Retail FX firm establishing a presence in the DIFC
- Project leader for a listed firm establishing a subsidiary in the DIFC. Lewis was heavily involved in the drafting of the business plan and application. Furthermore, Lewis liaised with the DIFC on the firm’s behalf in order to explain the business model and structure of the proposed business.
- Maintaining a strong relationship with a division of one of the “Big 4” accountancy firms including the provision of their AML and DFSA COB training and working with their DFSA Authorised Compliance Officer in reviewing and updating all compliance and AML related policies and procedures.