Financial Services Compliance and Regulation
Local and global compliance expertise for the financial services industry.
Alex Lander is a director in the Kroll’s (Duff & Phelps rebranded as Kroll in 2021) Financial Services Compliance and Regulation practice in London. He is responsible for providing ongoing compliance support to a wide range of wealth managers, asset managers and PE firms.
Alex is a specialist in retail firm compliance covering the entire suitability spectrum of pension transfers, pension switches, investment and protection products. He also ensures retail firms have the correct systems and controls in place to meet their ongoing regulatory obligations.
Before joining Kroll, Alex was Head of Compliance at Connor Broadley Wealth Management, holding the CF10 and CF11 control functions.
Alex is a chartered fellow with the Chartered Institute for Securities & Investment. He additionally holds diplomas in investment compliance and investment operations from the Chartered Institute for Securities & Investment. Additionally, he received a CFA and UK Investment Management Certificate and has passed the Chartered Insurance Institute financial planning exams.