Martin Herriot - Chief Executive
Martin joined Complyport from the FSA in September 2008, where he had spent ten years (the back half of which as Manager of Corporate Authorisation). At the FSA he held decision making responsibility for authorising firms of all sizes including hedge and long-only investment managers, stock brokers and banks. He was the departmental sector specialist for asset management. Martin is fully conversant with all aspects of asset management compliance, risk and governance including ICAAPs, compliance monitoring programmes, T&C, treating customers fairly and all other asset manager regulatory issues.
Martin was a voting member of the Regulatory Transactions Committee (a senior FSA committee) and responsible for leading and managing a number of FSA teams (18 to 52 staff members).
During his FSA tenure, Martin was also heavily involved in reviewing investment management firms including managers of hedge funds, private equity, retail client asset managers, fund of funds and investment advisers.
Prior to joining the FSA in early 1999, Martin was, for five years, an investment trust accountant and deputy Company Secretary for the trusts managed by AIB Govett and Baring Asset Management where he was responsible for all aspects of reporting and statutory requirements. This was preceded by 10 years in investment and retail banking.
Martin has the IMC qualification as well as being a Chartered Company Secretary and Chartered Banker.
