SARAH MARIE JONES
Poole,United Kingdom
Summary
Seasoned compliance officer with over 20 years of experience in financial sectors, specializing in regulatory compliance, financial crime prevention, and risk management. Expertise in MiFID II and FCA regulations, providing strategic guidance to ensure adherence to industry standards. Proven track record in conducting financial crime audits and in-depth reviews for major financial institutions. Skilled in evaluating controls to mitigate money laundering risks and investigating regulatory breaches to maintain robust compliance frameworks.
Overview
29
29
years of professional experience
8
8
years of post-secondary education
Work history
Compliance SME
Platinum Components
Bournemouth, Dorset
2026.02 - 2026.04
- Developed an internal compliance programme focused on sanctions controls.
Implemented a control regime for monitoring high-risk countries and entities.
Created a risk and control self-assessment (RCSA) for evaluating firm risks.
Drafted procedures for client onboarding and continuous monitoring.
Created compliance, sanctions and anti-bribery and corruption (ABC) policies.
Facilitated establishment of mandatory training regime.
Compliance/ Financial Crime Audit SME
Grant Thornton
London
2019.10 - 2026.02
- Assisted in regulatory projects focused on trade finance and financial crime audits.
Supported review of MiFID II product governance controls at large American investment bank.
Helped in evaluating transaction reporting controls at European retail bank.
Contributed to implementation of global regulatory platform at large investment bank.
Compliance Consultant
JP Morgan Chase
London
2019.03 - 2019.04
- Mapped controls for MiFID II and FCA regulations across various bank divisions to ensure compliance and mitigate risks.
Private Side Advisory Compliance Officer
Lloyds Commercial Banking
London
2018.10 - 2019.01
- Assisted compliance advisory team with regulatory advice and analysis.
Conducted policy reviews to ensure adherence to regulations.
Supported operational activities to enhance efficiency.
MiFID II Advisory Compliance Officer
Lloyds Commercial Banking
2017.08 - 2018.06
- Led compliance initiatives within a two-person team for MIFID II regulations.
Advised on best execution reporting and product governance strategies.
Coordinated with cross-functional teams to embed regulatory requirements into business practices.
MiFID II Advisory Compliance Officer
Kleinwort Hambros
London
2016.03 - 2017.08
- Assisted compliance advisory team by responding to queries from stakeholders within bank.
Supported projects focused on analysing fee disclosure for suitability changes on e-banking platform.
Contributed to implementation of MiFID II by ensuring compliance with product governance, transaction reporting, and best execution requirements.
Senior Manager: Monitoring and Testing
Charles Stanley
London
2014.08 - 2015.09
- Managed monitoring and testing division at Charles Stanley Compliance.
Supervised a team of eight compliance officers across various firm areas.
Supported implementation of risk-based monitoring and thematic review programmes across Charles Stanley.
Compliance Assurance Officer
Barclays Investment Bank
London
2013.10 - 2014.05
- Assisted in conducting compliance risk reviews within investment bank division of Barclays.
Collaborated in a two-person team, alternating as lead reviewer to evaluate controls mitigating risks.
Performed research on processes and policies and conducted interviews with stakeholders for comprehensive understanding.
Compliance Risk Review Officer
Credit Suisse
Canary Wharf
2011.07 - 2013.10
- Executed comprehensive risk reviews across all banking divisions, focusing on investment bank, private bank, and wealth management.
Facilitated scoping efforts to pinpoint key areas of interest, ensuring thorough documentation was acquired through effective liaison with audit, IT, and compliance teams.
Conducted in-depth analysis of policies and procedures, alongside interviews with bank personnel, to evaluate existing working practices and enhance compliance measures.
Forensic Investigator
Financial Services Authority, Enforcement Division
London
2008.01 - 2011.07
- Spearheaded investigations into small firms within the retail division of FSA enforcement.
Led interviews to assess potential fraud involvement and ensure compliance with regulatory standards.
Oversaw the collection and review of documentation to pinpoint breaches of FSA principles.
Conducted search warrant operations and unannounced visits to gather evidence.
Compiled and presented comprehensive investigation reports to the regulatory decision committee.
Engaged with various agencies, including law enforcement and the financial ombudsman service.
Partnered with internal departments to facilitate compliance visits to regulated firms.
Senior Intelligence Officer
Serious Organised Crime Agency (SOCA)
London
2006.04 - 2008.01
- Closed intelligence gaps through effective analysis of suspicious activity reports (SARs) in proceeds of crime intelligence unit.
Enhanced criminal investigations by identifying and mitigating money laundering risks.
Delivered high-quality research as an accredited financial investigator while managing a team of three intelligence officers.
Intelligence Officer
National Criminal Intelligence Service (NCIS)
London
2002.09 - 2006.04
- Experienced in financial intelligence specialising in the analysis and provision of data on money laundering methodologies to UK and international agencies.
Field Archaeologist
Various Archaeology Units
1997.06 - 2002.08
- Assisted in various excavations for multiple firms.
Supported Roman excavations for Channel Tunnel Rail Link project.
Contributed to Saxon Hamwic excavation for Southampton City Football Stadium development.
Forensic Archaeologist
ICTY
The Hague, Netherlands
1998.04 - 1998.06
- Assisted team members in conducting investigations into war crimes in Kosovo from April to August 2000.
- Visited several locations to identify and exhume graves of genocide victims.
- Helped gather evidence from crime sites to support legal proceedings.
- Contributed to exhumation efforts in Bosnia from April to June 1998.
- Travelled to sites near Serbia border to aid in identifying mass graves of over 300 individuals.
- Supported prosecution process by assisting in evidence collection.
Education
MSc - Entomology
Harper Adams University
Newport, Shropshire 2020.01 - 2021.01
MSc - Forensic Archaeology
Bournemouth University
Poole 1997.01 - 2001.01
BA(Hons) - Archaeology
University of Liverpool
Liverpool 1993.01 - 1996.01
Skills
- Compliance advisory and implementation
- Regulatory compliance
- Financial crime investigation
- Risk management
- FCA regulatory expertise
- Regulatory change management
- Thematic reviews and assurance
- Audit and gap analysis
- Intelligence analysis
- Risk identification and remediation
- Report writing
- Data analysis
References
Both personal and business references are available on request
Contact
- Email: sarahmariejones@hotmail.com
- LinkedIn: https://www.linkedin.com/pub/sarah-jones/52/a85/b32
References
References available upon request.
Timeline
Compliance SME
Platinum Components
2026.02 - 2026.04
MSc - Entomology
Harper Adams University
2020.01 - 2021.01
Compliance/ Financial Crime Audit SME
Grant Thornton
2019.10 - 2026.02
Compliance Consultant
JP Morgan Chase
2019.03 - 2019.04
Private Side Advisory Compliance Officer
Lloyds Commercial Banking
2018.10 - 2019.01
MiFID II Advisory Compliance Officer
Lloyds Commercial Banking
2017.08 - 2018.06
MiFID II Advisory Compliance Officer
Kleinwort Hambros
2016.03 - 2017.08
Senior Manager: Monitoring and Testing
Charles Stanley
2014.08 - 2015.09
Compliance Assurance Officer
Barclays Investment Bank
2013.10 - 2014.05
Compliance Risk Review Officer
Credit Suisse
2011.07 - 2013.10
Forensic Investigator
Financial Services Authority, Enforcement Division
2008.01 - 2011.07
Senior Intelligence Officer
Serious Organised Crime Agency (SOCA)
2006.04 - 2008.01
Intelligence Officer
National Criminal Intelligence Service (NCIS)
2002.09 - 2006.04
Forensic Archaeologist
ICTY
1998.04 - 1998.06
Field Archaeologist
Various Archaeology Units
1997.06 - 2002.08
MSc - Forensic Archaeology
Bournemouth University
1997.01 - 2001.01
BA(Hons) - Archaeology
University of Liverpool
1993.01 - 1996.01