Tim Parsons
About Tim Parsons
Tim Parsons is the Global Compliance Manager and Director at Elevate, with extensive experience in equity sales, trading, and compliance management across various financial institutions.
Current Role at Elevate
Tim Parsons serves as the Global Compliance Manager and Director at Elevate. In this role, he oversees compliance management on a global scale, ensuring adherence to regulatory standards and best practices. He works closely with change management teams to identify and address surveillance requirements. His responsibilities also include managing a team of over 80 analysts focused on surveillance and risk management coverage.
Previous Experience in Financial Services
Prior to his current position, Tim Parsons held several significant roles in the financial services industry. He worked as an Executive Director in Equity Sales & Trading at SMBC Nikko Capital Markets Ltd from 2011 to 2015. Before that, he served as Director of Equity Sales and Trading at Citi for 11 years, from 1999 to 2010. His earlier experience includes positions at GFI Group, NatWest Markets, and Nikko Europe, where he developed a strong foundation in equity trading and compliance.
Education and Professional Development
Tim Parsons has a solid educational background in finance and compliance. He studied Business Studies (Finance) at London Metropolitan University, earning a BA (Hons) from 1984 to 1988. He furthered his expertise by obtaining a Diploma in Investment Compliance from the Chartered Institute for Securities and Investment between 2015 and 2016. His education supports his extensive experience in governance, risk, and compliance.
Key Responsibilities at Morgan Stanley
At Morgan Stanley, Tim Parsons serves as the eCommunications Surveillance Manager. He developed and maintains the Global Compliance Surveillance Manual and procedures, along with an analyst training program. His role involves conducting horizon scanning and risk assessments to identify emerging conduct risks. He ensures that best practices are consistently followed across regional teams in APAC, EMEA, and the Americas.
Leadership and Team Management
Tim Parsons is responsible for providing globally consistent management reporting to key stakeholders, highlighting new developments and recommending areas for improvement. He is actively involved in team training, focusing on review techniques, products, and regulatory developments to enhance team efficiency and subject matter expertise. His leadership extends to managing a diverse team of analysts located in the UK and Manila.