Financial Services Compliance and Regulation
Local and global compliance expertise for the financial services industry.
Monique Melis is a managing director and head of Kroll’s (Duff & Phelps rebranded as Kroll in 2021) Financial Services Compliance and Regulation practice and a fellow at the Kroll Institute. She joined the London practice from Kinetic Partners, which was acquired by Kroll in January 2015. Monique specializes in regulatory advice and, over the last 26 years, has worked with the FCA, various types of investment firms and asset managers. Monique is a member of the firm’s Luxembourg regulated entity Board where she acts as a Non-Executive Director since 2012. In June 2017 Monique was appointed a non-executive director at Metro Bank PLC, a London Stock Exchange listed company.
Monique’s areas of expertise include senior management systems and controls, governance and regulatory risk, market monitoring issues, global procedure manuals for banks, large investment firms, regulatory investigations, transaction reporting, expert witness reports and regulatory due diligence. Monique is also involved in the resolution of regulatory investigations issues and has spoken at industry seminars and written articles on regulatory change and transaction reporting on numerous occasions. Monique has testified in the high court in respect of a high-profile AML case and acted as expert witness on both AML and market conduct cases globally.
Prior to joining Kinetic Partners, Monique was the Head of Market Regulation at the Cayman Stock Exchange. She also worked at CIMA where she assisted in the Cayman Islands IMF review and co-drafted the Securities Investment Business Law for the Islands. She previously managed the Transaction Monitoring Unit in the Markets and Exchanges Division of the FSA. She transferred to the FSA from the Securities and Futures Authority where she worked in the Surveillance Department.
Monique has an MSc in Economics and Business Administration from Linkoping University (Sweden) and Ecole Supérieure de Commerce, Nantes-Atlantique (France) and holds a Diploma in Regulation and Compliance from the Chartered Institute for Securities and Investment. In 2012, she completed the Executive Leadership and Managerial Finance programme at the University of Chicago Booth School of Business.