Thomas Alen
About Thomas Alen
Thomas Alen is a Compliance Officer specializing in Financial Promotions at SEI in London, with extensive experience in the Asset Management, FX, Banking, and Insurance industries.
Current Role at SEI
Thomas Alen is working as a Compliance Officer - Financial Promotions at SEI in London, Greater London, United Kingdom. He is responsible for ensuring that all financial promotions comply with relevant regulations and standards, safeguarding the company's integrity and compliance with the Financial Conduct Authority (FCA) guidelines.
Previous Positions in Financial Compliance
Thomas Alen has a history of holding significant roles in financial compliance. From 2016 to 2018, he served as the Interim Financial Promotions Manager at Domestic & General in Wimbledon. Prior to this, he was the Interim Financial Promotions Compliance Manager at Shawbrook Bank in Brentwood from 2015 to 2016. He has also held various positions at Moneycorp, including Senior Compliance Executive, Compliance Executive, Compliance Assistant, and Fx Settlements Administrator, spanning from 2007 to 2015.
Educational Background
Thomas Alen studied at Anglia Ruskin University, where he achieved a BA (HONS) in Tourism and Leisure (International) from 2001 to 2004. He is currently working towards an Investment Compliance Diploma with the Chartered Institute for Securities & Investment (CISI).
Professional Qualifications
Thomas holds ICA qualifications, which underline his expertise in compliance and anti-money laundering practices. His qualifications enable him to handle complex regulatory requirements effectively and maintain high compliance standards.
Industry Experience and Skills
With extensive experience in the Asset Management, FX, Banking, and Insurance industries, Thomas has honed skills in Negotiation, Regulation, Business Management, and Risk Management. He is known for his high level of attention to detail in compliance-related tasks, ensuring meticulous adherence to regulatory standards.