Lewis Gurry

Lewis Gurry

Lewis Gurry

Director

Lewis has 12 years’ experience in the financial services industry covering a wide range of asset classes from vanilla cash securities, futures and options to complex OTC derivatives. 

Product knowledge:

  • Transferable securities
  • Fixed income
  • Commodity derivatives
  • Energy derivatives
  • FX and CFDs

Regulatory expertise:

  • MiFID II
  • MAR II
  • EMIR
  • FSMA
  • DPA
  • SMCR
  • IFPR

Business model experience:

  • Serving in the compliance department of a high frequency trading equities brokerage offering advanced algorithmic trading strategies and operating a multilateral trading facility (“MTF”)
  • Managing the global compliance framework of a Category 1 Ring Dealer of the London Metal Exchange (“LME”) and Clearing Member of ICE Futures Europe, Eurex and Euronext
  • Serving on the Executive Committee of a significant wholesale brokerage firm
  • Establishing a branch of an NFA member firm, its compliance framework and serving as Branch Manager

Technical skills:

  • Overseeing supervisory visits from global regulatory authorities such as the FCA and NFA.
  • Designing rules maps, risk assessments and compliance monitoring plans
  • Delivering engaging training tailored to the roles and responsibilities of attendees
  • Designing and delivering regulatory change projects
  • Creating and maintaining key internal policies and procedures
  • Regulatory support and adaptation to major market event
Lewis has been the responsible officer for several positions during his career including the senior manager responsible for compliance oversight (“SMF16”), National Futures Association Branch Manager and Data Protection Officer (“DPO”).
 
Lewis is passionate about delivering practical solutions to complex financial services regulation.

We don’t just do theory, we’ve practised.

We offer front line regulatory experience to our clients, from pit to boardroom…

Services