Kam Jaspal - Senior Compliance Consultant
Kam joined Complyport in March 2007 with over 18 years experience in compliance and regulation. Kam was previously at the FSA where she was a Senior Associate in the Investment Firms Supervision Department responsible for monitoring and supervising regulated firms in the fund management and corporate finance sector. Kam was actively involved in on-site ARROW (regulatory risk) visits to some of these firms and consequently providing regulatory guidance.
Prior to this role, Kam worked for the London Stock Exchange where her experience included assessing the suitability of company securities for listing. Kam specialised in vetting listing documents relating to debt and capital markets securities and liaised extensively with the proposed listed company's advisers including investment banks and legal advisers. Kam was also actively involved in marketing the London Stock Exchange as a potential listing platform for debt and capital markets securities.
Kam is a consultant within the Investment Business Team and provides regulatory guidance and support to a number of our clients, whilst also bringing LSE listing expertise to the team. Kam's role primarily involves dealing with day to day regulatory issues affecting clients, implementing in-house compliance monitoring procedures, and providing independent compliance reviews.
Kam graduated from Kingston University with a BSC (Honours) in Sociology focusing on sociological and philosophical theories and the application of a scientific discipline to research methods.
