John Philpott in

John Philpott

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FM Compliance - SEC 10c-1a, Canada, CFTC, SEC, SFTR, EMIR at Standard Chartered Bank
📍 London, England, United Kingdom

John is a financial markets compliance expert at Standard Chartered Bank with over 30 years of experience. He specializes in post-trade regulatory change, including EMIR, SFTR, and Dodd-Frank. He attended the University of Bristol.

His unique career path includes 20 years as a principal risk taker trading equities, bonds, and derivatives before transitioning to regulatory compliance.

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Experience
12 Years
Current Role
FM Compliance - SEC 10c-1a, Canada, CFTC, SEC, SFTR, EMIR
Location
London, England, United Kingdom
Personality Overview

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Priorities

Topics John cares about

Regulatory Change
A subject matter expert in post-trade regulations like SFTR, EMIR, and CFTC, providing advisory and implementation services for top-tier banks.
Swap Reform
Actively comments on the lengthy and complex process of finalizing swap reform rulemaking by bodies like the SEC, a decade after Dodd-Frank was enacted.
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Career

Work history

5-2019
FM Compliance - SEC 10c-1a, Canada, CFTC, SEC, SFTR, EMIR
Standard Chartered Bank
5-2015 - 6-2019
FM Compliance - EMIR, CFTC, SEC, MiFID2/R, SFTR, CSDR
Lloyds Banking Group
4-2014 - 12-2014
Operational Compliance - EMIR
Barclays Investment Bank
8-2013 - 3-2014
Project Lead - EMIR, Dodd Frank, APAC - OTC Swap Reform
HSBC
2-2013 - 7-2013
Consultant - EMIR Trade Reporting
DBFS
In the press

Media appearances

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Education
1985 - 1988
Education details unavailable
University of Bristol
Social presence
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Behavioral profile

DISC profile (public)

DISC behavioral profile

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