JOANNA SCOTT

CHIEF COMPLIANCE OFFICER
KINGSROCK ADVISORS UK LTD
LONDON / UK

Jonna is the Chief Compliance Officer of KingsRock Advisors UK Ltd.

Joanna is an Associate Director in the Investment Firms team with five years consultancy experience at the firm and over 23 years’ experience in financial services, specialising in compliance and middle office roles. She supports clients with regulatory AML, compliance and particularly FCA and SEC requirements, and works with a wide range of clients including private equity, venture capital, corporate finance, advisory firms, MiFID investment firms, and AIFMs.

Compliance responsibilities include developing and overseeing monitoring programmes and infrastructure, conducting firm-wide risk assessments (covering clients, products, services, jurisdictions, and distribution channels), and producing regulatory updates and opinion pieces. The role also involves advising colleagues on ad hoc regulatory queries and preparing documentation for FCA-related processes such as authorisations, variations of permission, change in control, cancellations, and SM&CR/approved persons requirements.

Joanna also contributes to compliance strategy, provides regulatory advice, and undertakes senior secondment roles. Full suite of work in relation to the secondment FCA CCO & MLRO (SMF16 & SMF17) roles, with touch points of SEC Exempt Reporting Advisors and Registered Investment Advisors responsibilities.