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Regulatory Compliance Services

Regulatory and compliance services in Luxembourg

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Roderick Smith

I have a passion for compliance and governance and working with a business to ensure that it has fulfilled all statutory obligations and requirements. One of my main goals is to develop compliance governance with management and promote employee compliance wellness programs. I move into a position as a compliance executive where I can implement innovative compliance case studies and develop internal training. As a consultant, Chief Compliance Officer (CCO), and Head of Global Financial Crime Compliance, I have overseen compliance monitoring programs, given advice and support on compliance matters, and acted as a contact point for escalated business global financial crime compliance and regulatory concerns.

I have helped to develop Luxembourg due diligence standards,  processes, and controls in line with the regulatory framework, and I proactively react when foreseeing issues. I have managed with the CEO and the conducting officer, I was in charge of Risk, Investments and Compliance and a Compliance Manager. Also, I have a project-management background and understand the upcoming changes and challenges for companies in dealing with DORA for 2025.

Business license no. 10158220 / VAT no. LU35189578