RQC - Key Persons
Job Titles:
- Managing Director
- Managing Director ( U.S. )
Allison is a Managing Director of RQC Group and leads the U.S. regulatory practice. Based in New York, Allison has over 25 years' experience in the asset management industry. Prior to joining RQC Group, she was a Director on the regulatory and compliance team at Kinetic Partners (acquired by Duff & Phelps, now Kroll).
From developing risk-based policies and procedures to implementing appropriate monitoring and controls, Allison has experience structuring all aspects of a fund manager's compliance program. A long-term focus on the private fund industry enables her to provide clients with comprehensive guidance contemplating regulatory requirements, as well as industry best practices. As RQC Group's U.S technical lead, Allison focuses on the more complex issues of our clients including drafting Form ADV disclosure language, assisting with SEC examinations, managing large-scale review projects, and developing multi-jurisdictional compliance programs.
Allison received a B.A. in English from Rutgers College.
Anya is the Group Financial Manager for the RQC Group. She started her career at Deloitte South Africa in 2014 and transferred to Deloitte UK in 2018, where she was an Audit Manager, before joining the RQC Group in 2020.
Anya is a qualified Chartered Accountant (SA).
Barrie has been a Managing Director of the RQC Group since 2012 where he manages the UK consulting team, which supports FCA, SEC and NFA regulations, and the supervision of appointed representatives on our advisory hosting platform. He also is a member of the regulatory hosting committee, which has responsibility for the appointment of hosted investment managers and appointed representatives as well as ongoing supervision.
Originally working in the life and pensions industry where he qualified as a Chartered Insurer in 1992, Barrie moved into asset management compliance in 1994 and has held senior compliance roles at Legal & General Investment Management, Augustus Asset Managers Limited and State Street Global Advisors Limited where he was Head of UK Compliance and Chief Compliance Officer (SEC). Prior to joining RQC Group in 2012, Barrie was Director of Compliance at Affiliated Managers Group Limited where he had responsibility for compliance oversight of AMG's global operations in London, Dubai, Sydney and Hong Kong.
Job Titles:
- Senior Consultant
- Senior Director
Camilla joined the RQC Group as a Senior Consultant in October 2017, after 7 years as a Senior Associate at Duff & Phelps.
Camilla provides regulatory advice and on-going compliance support services to a wide range of investment firms, including hedge fund managers and private equity businesses, who are also registered in the U.S. with the SEC and the NFA.
She has undertaken secondments at a number of FCA regulated firms as well as client projects, including assisting newly authorised firms implement tailored compliance infrastructures, implementing regulatory change (such as AIFMD, MiFID II and SMCR) as well as assisting with key regulatory processes, such as initial applications and ongoing notifications to the FCA, SEC and NFA.
Darryl is an Executive Director of the RQC Group and CEO of Capricorn Fund Managers, an investment management regulatory hosting platform, where he manages the supervision of investment managers and provides advice from structuring, service provider selection and day-to-day operations. Darryl also serves as the Chief Compliance and Risk Officer and the Chair of the regulatory hosting committee, which has responsibility for the assessment and appointment of hosted investment managers and appointed representatives as well as ongoing supervision. Darryl joined Capricorn in February 2013 as Chief Operating Officer when the firm was an external hedge fund manager and has extensive experience in hedge fund operations and finance, which brings a practical and commercial perspective to the platform.
Prior to joining Capricorn, he listed an insurance broker on the AIM market and was the COO of the Stenham Group, an international financial services group providing alternative asset management investment solutions (hedge fund of funds ($3.6bn) and property funds ( 3bn)). After qualifying as a chartered accountant with Deloitte, London, in 1991 he remained there until 1998 before joining a client, Primedia, an international media group, as Commercial Director responsible for the European operations, corporate finance and tax planning.
Darryl is a shareholder in Capricorn Fund Managers.
Emma joined RQC Group as a Senior Consultant in November 2023, with a decade of expertise in regulatory compliance across diverse jurisdictions like Malta, the UK, and the US.
Her career spans various pivotal roles in senior compliance positions, notably overseeing SMF16 and SMF17 functions, with a specialised focus on fund distribution.
Hakan joined the RQC Group in November 2020 after having worked in compliance consulting for the previous five years as a senior compliance Consultant advising a number of clients, including asset managers, brokers and fintech platforms.
He has also previously worked at Bloomberg Tradebook Europe as a compliance officer where he advised the firm regarding financial regulation and was involved with day-to-day compliance matters, at the Financial Services Authority within the enforcement team involved in the split's capital investigation, at the Financial Services Compensation Scheme reviewing investor losses and at Customs & Excise within the prosecution team, dealing with financial crime.
Hakan is a qualified solicitor who has been involved in the financial services industry for over 20 years.
Job Titles:
- Chief Operating Officer
- in 2023 As the COO
Janet joined RQC Group in 2023 as the COO. She is qualified accountant with over 15 years of experience leading Finance and Operations teams in dynamic growing SME companies and has a proven track record of building efficient and effective Finance and Operations functions in successful professional services companies.
Prior to joining RQC Group, Janet has worked in the consulting industry for over 15 years for Healthcare consultancy Akeso as their Finance and Operations Director and Baringa Partners as the Head of Finance and Operations.
She gained her accounting qualification with KPMG in South Africa.
Jonty is an Executive Director of RQC Group and Capricorn Fund Managers, overseeing the business development strategy of both firms. In CFM he is also a member of the Investment Committee and the Regulatory Hosting Committee.
Before joining Capricorn in 2013 as Business Development Director, he was Head of Marketing and Investor Relations at Clareville Capital Partners LLP, a London-based hedge fund. At both businesses he had responsibility for building AUM and launching their UCITS funds.
Jonty started his career in the Oil and Gas division of Sedgwick Energy Ltd. In 1993 he joined the European Convertible Bond Desk at Tullett and Tokyo International Securities Ltd and later went on to co-manage the Relative Value and Algorithmic Trading Desk at Tullett Liberty Equities Ltd. He graduated from the University of Nottingham.
Jonty is a shareholder in Capricorn Fund Managers.
Jordan is a Senior Consultant at RQC Group with over 5 years' experience in regulatory compliance covering the UK and the U.S. He has been responsible for ongoing compliance support, including assisting with FCA applications, monitoring and advising, and overseeing requirements with respect to the RQC Advisory Hosting platform.
Earlier in his career, he worked for a Merchant and Futures Trader in Brazil. Jordan has a bachelor's degree in International Relations (Catholic University of BrasÃlia - Brazil).
Mark is a Director in the New York office with a focus on the private fund industry. Prior to joining the RQC Group in 2019, Mark spent 11 years in in-house CFO and CCO roles with three separate investment advisers.
After qualifying as a chartered accountant in 2004 with Deloitte in South Africa, Mark immigrated to the United States where he worked in the CFO Services division of Deloitte Consulting and subsequently the Controllers Division of Goldman Sachs Investment Management.
Matthew has been a Managing Director of the RQC Group since 2013 where he supervises the teams dealing with technical regulation, regulatory change, regulatory submissions and technology. With over 22 years' experience in regulatory compliance, Matthew is an invaluable member of our team as the "consultants' consultant" and advises the group on technical regulatory matters and change. Matthew is also a member of the regulatory hosting committee, which has responsibility for the appointment of hosted investment managers and appointed representatives as well as ongoing supervision.
Matthew started his career in the compliance departments of Morgan Grenfell Asset Management and Nomura Asset Management. He then joined IMS Consulting as a compliance consultant. After seven years he went back into the industry and became the registered Compliance Officer and Money Laundering Reporting Officer (FCA) and Chief Compliance Officer (SEC) at GML Capital LLP, a boutique asset manager specialising in emerging market credit.
Payal joined RQC Group as a Senior Consultant in August 2022. Prior to joining RQC Group Payal has worked in Regulatory Consulting roles and in-house Compliance roles for over 15 years and has also held SMF16 and SMF17 roles at asset management firms.
Payal has worked with a wide range of firms from start-ups, medium size firms and large firms. Her broader experience includes helping firms set up their compliance infrastructure, conducting compliance monitoring, drafting and updating compliance policies and procedures, compliance advisory work, systems and controls review, helping firms prepare for an FCA visit and helping firms draft Board reports.
Payal has also worked on s166 Financial Crime projects undertaking Financial Crime reviews which involved reviewing Financial Crime Policies and Procedures, reviewing Transaction Monitoring process, reviewing Sanctions screening process, Financial Crime Governance review, AML file reviews, reviewing PEP identification process and identifying high risk client's process.
With a background in investment banking compliance, Peter has been providing regulatory compliance advice to alternative investment managers since 2014 and on behalf of the RQC Group since 2017. Peter works with firms regulated by the FCA, SEC and the NFA.
Job Titles:
- CEO
- Founder
- Consulting and Capricorn Fund Managers Announce Regulatory Hosting Platform for Investment Managers
- Consulting Limited Is Founded in London to Provide Integrated FCA and SEC Advice
- Consulting Rebrands to the
- Member of the Regulatory Hosting Committee
Robert is the founder and CEO of the RQC Group. An expert in UK and U.S. cross-border regulation, Robert founded the RQC Group in 2007 as a commitment to delivering premier UK and U.S. compliance expertise to financial services firms who are serious about building an institutional quality business - an ethos that remains core to all our business lines. Robert started his career as a lawyer in San Francisco Bay Area during the dot com boom in the 90s - experiences that allowed him to thrive in an environment where legal and regulatory staff creatively found pragmatic solutions to help the business to grow from strength to strength. Relocating to London in 2006, Robert has spent the last fifteen years advising firms on all aspects of UK and U.S. regulations during a period where it's become essential for firms to get sound cross-border technical analysis and advice. He has an exceptional ability to translate complex regulatory issues into easy-to-understand advice.
Robert is passionate about helping clients navigate FCA, SEC, CFTC and related regulations in an integrated fashion. His ethos of collaboration and customer service permeates the firm and has helped create a brand known for excellence on the street. He understands the importance of compliance when raising capital from the top tier of institutional allocators and works with c-level executives on both a strategic and day-to-day level.
Robert is a member of the regulatory hosting committee, which has responsibility for the appointment of hosted investment managers and appointed representatives as well as ongoing supervision.
Robert Quinn Advisory regulatory platform is launched.
Robert Quinn Consulting and Capricorn Fund Managers announce regulatory hosting platform for investment managers.
Job Titles:
- Director
- Sales and Business Development Director
Stephen is the Sales and Business Development Director at the RQC Group. He is a financial services professional with over 18 years of operational, equity sales and trading, investor relations and fund management experience.
He is experienced in helping our clients to structure their business and partnering with outsourced financial service providers, counterparties, lawyers, auditors as well as internal teams. Stephen maintains a deep and active network from both the buy and sell side industries, institutional allocators and family offices. Stephen started his career as a graduate at Tisbury Capital before moving to prime brokerage at Merrill Lynch and then spent 10 years at Williams Trading LLP focusing on European equities. Post Williams, Stephen has held the head of business development roles at leading fund management platforms. He holds a degree in Politics and Social Policy from the University of London.
Susan is a Senior Consultant at RQC Group and has worked in asset management compliance both in-house and as a compliance consultant since 1986.
Susan worked for Mercury Asset Management for 17 years, including 10 years in the Group Compliance department and was a regulatory consultant at KPMG for nine years. Subsequently, she joined Close Brothers for three years where she worked in the Group Compliance department and was the Deputy Divisional Compliance Officer at Close Asset Management.
This was followed by an eight-year stint at a compliance consultancy where she was responsible for a portfolio of investment management clients as well as undertaking s166 reviews of investment firms. Susan subsequently moved in-house working for a hedge fund manager for three years, before joining RQC Group in 2022.
Wayne is the Marketing Director at the RQC Group and also leads the strategic oversight and operations of both the group's communications and the e-Learning division.
Wayne is an award-winning hands-on strategic marketing professional with over two decades of extensive global blue-chip brand marketing experience, and proven success across the FMCG drinks, telecommunications, edtech and financial services industries. Wayne joined the RQC Group in February 2020.