Poonam Patel

Compliance Assistant

Poonam is responsible for updating and co-ordinating the Group compliance policies across the business divisions and assisting with ad hoc compliance projects. She also handles the processing file openings for the Group including KYC/sanctions checks and conducting file reviews, assists with the Group’s online compliance training programme as well as aiding various departments as and when required with compliance related tasks.


Poonam’s background is legal, having worked within the profession for almost 10 years as a Paralegal in various areas of law including Criminal, Property and Personal Injury. She moved into a compliance role within a financial services company two years ago, where she was heavily involved with the customer service department, ensuring that client queries and in particular, complaints, were dealt with in a professional and timely manner. She has created and delivered training on various issues and also solely managed the editorial compliance of a financial publication’s content before release amongst other compliance monitoring duties.


  • Law degree from De Montfort University and Legal Practice Course from the same University.
  • Also successfully passed two exams out of 3 within Level 4 of the Investment Advice Diploma with the Chartered Institute for Securities & Investment.


Poonam’s hobbies include reading, keeping fit and travelling.