Suzanne Quinn
South Queensferry,Edinburgh
Summary
Compliance executive with over a decade of experience leading regulatory advisory functions across global investment firms. Bringing a strategic, solutions-focused approach to compliance — viewing it not as a blocker, but as a business partner that enables growth while safeguarding clients and the firm. Skilled in navigating complex regulatory landscapes and translating them into clear, actionable guidance across all levels. Known for fostering a culture of integrity, driving operational excellence, and building strong relationships through clear communication and a collaborative, approachable style.
Overview
28
28
years of professional experience
Work history
Global Head of Compliance Advisory
Baillie Gifford & Co
Edinburgh
10.2010 - 05.2025
- Led global advisory function, managing team of ~25 compliance professionals across multiple jurisdictions.
- Oversaw horizon scanning for regulatory developments worldwide, translating changes into actionable updates across policies, training, monitoring, and reporting frameworks.
- Provided strategic compliance advice to senior management and business units, supporting both regulatory change initiatives and new business projects.
- Reported at Executive Board level, highlighting regulatory trends and driving strategic compliance alignment.
- Served as Chief Compliance Officer for mutual funds, broker dealer, and investment adviser.
- Held Executive Board position within broker dealer, contributing to governance and oversight.
- Acted as primary liaison with key regulators including FCA and SEC, managing regulatory relationships and leading responses to formal reviews and inspections.
- During maternity cover periods, assumed role of Deputy Head of Compliance, overseeing department of ~65 professionals and ensuring continuity of leadership and regulatory engagement.
Head of Risk & Compliance
FNZ (UK) Ltd
Edinburgh
07.2008 - 10.2010
- Supervised team of four staff across United Kingdom and New Zealand.
- Directed activities of various departments to ensure compliance with regulatory requirements.
- Maintained operational, regulatory, and business risk registers for effective risk management.
- Formulated annual compliance monitoring plan, including sample-based reviews and complaints reporting.
- Communicated regularly with FSA, client auditors, internal departments, and company board.
- Monitored and adjusted company's permissions scope with FSA as necessary.
- Reviewed regulatory developments for impact on business operations.
- Documented internal controls and maintained Internal Capital Adequacy Procedures within ICAAP.
Compliance & Risk Manager
SVM Asset Management
Edinburgh
03.2003 - 07.2008
- Ensured compliance across financial promotions and investments within OEICS, Investment Trusts, Hedge Funds, and Pension Funds.
- Compiled and executed annual compliance monitoring programme, enhancing oversight of internal departments and third-party administrators.
- Conducted thorough compliance reviews to identify risks and ensure adherence to regulations.
- Completed regular returns to FSA, maintaining organisational accountability.
- Documented Turnbull Reports for Investment Trust boards to facilitate strategic decision-making.
- Managed customer complaints effectively to uphold company reputation.
- Signed off all financial promotions, ensuring regulatory compliance.
- Assisted in preparing ICAAP documentation and AAF01/06 control document, strengthening risk management frameworks.
- Reviewed and updated compliance policies and procedures to reflect changing regulatory requirements.
Share Trader
Strategic Business Solutions / Stocktrade
Edinburgh
03.2000 - 03.2003
- Executed equity trades in PEP and ISA department, adhering to HMRC regulations.
- Processed client equity deals via OMS system, ensuring compliance with ISA guidelines.
- Managed bulk monthly dividend reinvestment into ISA accounts for optimisation.
- Addressed queries regarding PEPs and ISAs from Independent Financial Advisers and clients.
- Established and maintained client accounts to enhance service continuity.
- Conducted account reconciliations to ensure accuracy in financial records.
- Facilitated automated deal execution for clients using OMS system.
- Provided advice on Corporate Actions while overseeing dividend reinvestment processes.
Customer Service Representative
Standard Life Assurance Company
Edinburgh
08.1997 - 03.1999
- Administered Group Pension Plans, ensuring compliance and efficient management.
- Liaised with Independent Financial Advisers and external customers via telephone to address inquiries.
- Trained team of nine representatives, enhancing overall performance and collaboration.
Education
Series 7 & 24 -
FINRA
Certificate in Investment Administration (IAQ) -
SII Level 3
Skills
- Board-Level Reporting & Strategic Advisory – Clear, actionable reporting to executive boards and senior leadership to inform strategic decisions
- Regulatory Engagement – Direct interaction with regulators including FCA and SEC; leading responses to inspections and reviews
- Leadership & Team Development – Management of compliance teams (25–65 professionals), fostering high performance and professional growth
- Policy & Training Implementation – Translating regulatory change into practical updates across internal policies, training programmes, and monitoring plans
- Governance & Risk Management – Advising on governance structures and risk mitigation strategies aligned with regulatory expectations
- Cross-Border Compliance – Supporting global operations across fund structures and separate accounts, including market entry and jurisdictional compliance
- Project Management – Leading compliance input on regulatory change initiatives and new business development projects
- Senior Stakeholder Engagement – Trusted advisor to senior management and business units across investment management functions
Accomplishments
- Strategic Compliance Leadership: Played a key role in shaping firm-wide responses to emerging regulatory themes, including ESG , AI , and private company investment , ensuring alignment with evolving expectations while supporting innovation and growth.
- Influenced SEC Policy Development: Successfully lobbied the SEC ahead of the 2019 Marketing Rule proposal and was directly quoted in the published proposal — demonstrating strategic influence and deep regulatory insight.
- Regulatory Exam Success: Led Baillie Gifford through:2 SEC exams
3 FINRA exams
1 NFA exam
1 Hong Kong regulatory exam
Numerous FCA exams
All completed with no significant findings , reflecting strong governance and operational excellence.
- Led Compliance Through Critical Periods: Provided steady leadership during the COVID-19 pandemic (2020) and a major organisational restructuring (2023), ensuring continuity, regulatory engagement, and team cohesion across compliance departments of up to 65 professionals.
- Built and Scaled Global Advisory Function: Established and led a team of ~25 compliance professionals, delivering strategic regulatory advice across jurisdictions and investment structures.
- Executive-Level Influence: Regularly reported to the Board, shaping strategic decisions through clear, actionable insights on regulatory developments and compliance risks.
- Cross-Border Compliance Leadership: Supported global market entry and business expansion through tailored compliance solutions aligned with local regulatory requirements.
Affiliations
- Running
- Cycling
- Watersports
References
References available upon request.
Timeline
Global Head of Compliance Advisory
Baillie Gifford & Co
10.2010 - 05.2025
Head of Risk & Compliance
FNZ (UK) Ltd
07.2008 - 10.2010
Compliance & Risk Manager
SVM Asset Management
03.2003 - 07.2008
Share Trader
Strategic Business Solutions / Stocktrade
03.2000 - 03.2003
Customer Service Representative
Standard Life Assurance Company
08.1997 - 03.1999
Series 7 & 24 -
FINRA
Certificate in Investment Administration (IAQ) -
SII Level 3
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