Collins Stewart appoints new head of compliance

| November 6, 2012 | 0 Comments
James Swaisland

Collins Stewart Wealth Management has appointed James Swaisland to lead the compliance team in Guernsey, Jersey and the Isle of Man.

Mr Swaisland will work with all departments and the compliance team to ensure that Collins Stewart continues to adhere to all relevant legislation and financial regulation within the three jurisdictions.

He has worked in the investment compliance industry for over 15 years and has held a number of senior departmental positions in Guernsey and the UK.

He began his career at The Royal Bank of Canada as a graduate trainee in the compliance department and moved to the UK to take on senior roles at firms including Johnson Fry Asset Managers PLC in London and Aberforth Partners LLP in Edinburgh.

Mr Swaisland has a Diploma in Investment Compliance from the Chartered Institute for Securities and Investment, and a degree in Public Sector Management from Sheffield Hallam University.

After a number of years working in the UK, Mr Swaisland, who was brought up in the island and educated at Elizabeth College, has decided to return to Guernsey with his family to take on the senior position at Collins Stewart.

“I am looking forward to getting to grips with the size and breadth of the Collins Stewart business with its wide range of international products & services,” he said.

“The challenge continually faced by compliance professionals is coping with the pace and variety of regulatory change combined with the increased influence of global regulation on our local markets. I’ll be working with the Collins Stewart compliance team to ensure we are at the forefront of all regulatory changes in all jurisdictions.”

“James is a valuable addition to the compliance team, his breadth of experience in the investment compliance industry will ensure Collins Stewart continues to provide clients with a range of wealth management products & services of the highest standards,” said Charlie Roger, head of Collins Stewart Wealth Management in Guernsey.

“His appointment illustrates the value of local people gaining wider expertise elsewhere, before returning to the island, as highlighted at the recent Guernsey IoD conference,” he said.

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Category: Appointments

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