Alec Williams
About Alec Williams
Alec Williams serves as the Head of Market Surveillance at Investec, a position he has held since 2020. He has extensive experience in compliance and market surveillance, having worked in various roles at Transact and Investec over the past decade.
Current Role at Investec
Alec Williams serves as the Head of Market Surveillance at Investec, a position he has held since 2020. In this role, he oversees the market surveillance operations, ensuring compliance with regulatory standards and internal policies. His experience in market surveillance is complemented by his previous role as Market Surveillance Manager at Investec from 2016 to 2020. Both positions are based in London, England.
Previous Experience at Transact
Prior to his tenure at Investec, Alec Williams worked at Transact in various roles. He began as a Client Service Manager from 2007 to 2010, followed by a position as Process, Risk & Control Analyst from 2010 to 2012. He then served as Compliance Monitoring Officer from 2012 to 2014. His diverse roles at Transact provided him with a solid foundation in client services, risk management, and compliance.
Education and Professional Qualifications
Alec Williams has a strong educational background in finance and compliance. He studied at the University of Hull, earning a degree in History with History of Art from 2003 to 2006. He furthered his qualifications with various certifications, including the Investment Operations Certificate from CISI (2010-2011), the Investment Compliance Diploma from CISI (2011-2012), and the CF1 - UK Financial Services, Regulation & Ethics from CII (2007). Additionally, he completed the Transaction Reporting Foundation Diploma at the London Stock Exchange in 2012.
Career Progression in Market Surveillance
Alec Williams has developed a career focused on market surveillance and compliance. After joining Investec as a Market Surveillance Officer from 2014 to 2016, he advanced to Market Surveillance Manager before becoming the Head of Market Surveillance. His progression reflects his expertise in monitoring market activities and ensuring adherence to regulatory requirements.