Alina Rotari

Compliance Executive
Norton Rose Fulbright LLP

London
United Kingdom
T:+44 20 7444 5626
London
United Kingdom
T:+44 20 7444 5626
Alina Rotari

Alina Rotari

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Biography

Alina is an executive within the Regulatory Risk Consulting team based in London and provides clients with support and assistance on a wide range of regulatory matters


Professional experience

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General financial services

  • Undertaking a controls review for a major bank following a consent order in connection with foreign exchange market misconduct. This included review of staff conduct when assessing suitability of products for clients and end-to-end whistleblowing governance and associated frameworks within the organisation. Alina also led on the programme governance through an ongoing engagement with the bank's stakeholders discussing matters arising and managing the project status;
  • Investigating allegations concerning a bank with regard to regulatory approvals, unlawful financial assistance, conflicts of interest in relation to outsourcing and breaches of single exposure limits, Criminal Finance Act and data protection;
  • Advising on consumer credit requirements and consumer identification for a consumer finance institution;
  • Providing a European crypto legislation survey for a cryptocurrency exchange;
  • Carrying out the development of a regulatory compliance gap analysis product for international firms to support the delivery of their risk and compliance implementation projects;
  • Performing a risk framework assessment for a multinational automotive manufacturer looking at their internal policies and procedures, risk appetite documentation, governance and regulator engagement arrangements;
  • Carrying out the development of a MiFID II / MiFIR gap analysis product for financial services firms to support with their MiFID II implementation projects;
  • Publishing articles and podcasts on financial crime, operational resilience, fintech, SMCR and regulatory reporting conduct and culture.

Financial crime

  • Advising a banking group on regulatory and AML/ KYC compliance obligations with respect to cross-border FX transactions;
  • Carrying out AML/CTF handbook and policy gap analysis and drafting compliance documentation for a PE firm in accordance to changes to AML legislation;
  • Providing regulatory advice in relation to CDD/KYC review including advising on related queries.