Weronika Sowa is an associate in our financial services regulatory team. Prior to qualifying, Weronika worked as an advisor in our financial services compliance regulatory consulting team.
Weronika has experience of FCA authorisations, variations of permission applications for smaller banks, consumer credit and asset management firms. She has produced and updated numerous compliance policies and procedures and other compliance documentation, particularly in relation to financial crime, i.e. anti-money laundering, anti-bribery and corruption, and sanctions (AML, ABC and sanctions) for a wide range of financial institutions including a peer to peer lender, motor finance providers, major market maker, trade invoicing company and third country branch of a retail bank. Other experience includes carrying out compliance monitoring, running board meetings, delivering compliance and financial crime-focused training for US asset managers, US prime broker and EEA branch of a German bank and FCA investigations. As part of her legal training, Weronika also spent six months on secondment to a major US clearing member, where she was involved in negotiating OTC clearing agreements and dealing with EMIR/clearing-related queries.
Before joining NRF, Weronika worked for nearly three years for a major AML/ABC and sanctions industry association, where she advised mainly financial services institutions and their Compliance Officers/MLROs on the latest legal and regulatory developments and best practice in AML, ABC and sanctions.
Weronika is an Associate Member of the International Compliance Association.
- Solicitor of the Senior Courts of England and Wales 2018
- Carrying out ongoing compliance monitoring for asset management companies
- Reviewing and updating policies and procedures and compliance manual of a large international bank
- Developing compliance documentation for various firms (consumer credit, banking)
- Developing financial crime documentation for various firms (consumer credit, invoice finance, corporate lending, peer to peer lender)
- Delivering compliance and financial crime-focused (AML/ABC and sanctions) training
- Assisting a peer-to-peer lending platform in their authorisation application
- Preparing compliance documentation for a consumer credit firm/motor dealer and peer-to-peer lending platform
- Assisting in authorisation applications for small asset management firms with international operations
- Reviewing and updating financial crime policies and procedures for a number of different firms (consumer credit, asset management and banking)
- Assisting in change in control applications for an international investment holding group