Mark de Ste Croix


Head of Compliance and Legal

Mark is responsible for all compliance, legal and regulatory matters at Raymond James. His department supervises Branch Principals, ensuring they meet compliance, legal and regulatory requirements. In addition, Mark’s team provides dedicated assistance to Independent Contracting and Professional Partner offices on day-to-day issues while helping them navigate and realise new projects and ventures.

Career History

Mark’s career in financial services began in 1983 working for a retail bank before moving on to a financial wealth manager role. The advent of financial services regulation saw him take up various training roles at Norwich Union, Old Mutual and other insurers.

In 1998 Mark decided to put theory into practice and became an IFA with a regional broker, working on SME pension plans, employee benefits, executive protection and company succession planning. After two years he joined the national IFA Inter-Alliance and became Head of Training in 2000. After overseeing the integration of over 400 new wealth managers from the Lincoln sales force and designing a new T&C scheme ready for the start of FSA regulation in 2001, Mark was made an Associate Director. With the company having grown to over 100 branches and almost 1,000 wealth managers he was formally made the Group Compliance Officer in 2002.

In late 2003 Mark joined Mortgage Intelligence as Head of Compliance to prepare the company for FSA regulation, create a new appointed representative network and manage training and T&C. In 2006 he moved to GE Money Home Lending as T&C Leader, before joining Raymond James in July 2009.

Mark is an Associate of the Personal Finance Society and a Member of the Chartered Institute of Securities and Investments (CISI).   He has a Bachelor of Laws degree from the Open University as well as holding the Investment Management Certificate.  Mark is a member of the Aldgate Group, a training and competency forum, a committee member of the CISI’s European Regulatory Interest Group, and an adviser on the CISI’s quarterly regulatory update.

Mark is married with two children. He is an avid book reader, particularly sci-fi and historical fiction, as well as being a keen runner.

Meet the Team

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Peter Moores

 

Chief Executive Officer, United Kingdom

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Cynthia Poole

 

Director of Relationship Management and Business Support

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Anthony Scott

 

Head of Business Development

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Mark de Ste Croix

 

Head of Compliance and Legal

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Stuart Wright

 

Head of Operations and Product Management

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David Strydom

 

Head of Technology & Facilities

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Naz Islam

 

Chief Financial Officer

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Erin Eckhouse

 

Head of Human Resources UK

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Kerry Nicholls

 

Deputy Head of Relationship Management & Training

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Tracy Speechley

 

Deputy Head of Operations

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Mark Filipponi

 

Deputy Head of Technology & Facilities

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