Fariha Bajawrhi

Led global compliance efforts at a high-growth FinTech, overseeing regulatory licensing in the EEA, US and Canada (EMI and MiCAR), strategic banking partnerships, and internal compliance operations. Acted as a senior advisor across departments and to clients, driving alignment with evolving regulatory frameworks. Managed audits, risk assessments, and a compliance team, while implementing policies, KPIs, and training to scale compliant growth across jurisdictions.

Developed and implemented a Risk & Compliance oversight framework, including dashboards to monitor crypto and credit card product risks. Oversaw regulatory action tracking under SM&CR and Consumer Duty. Improved financial crime controls using Jira workflows and QA processes. Facilitated compliance governance meetings attended by the manageemtn team abd lead and cross-functional meetings, aligning stakeholders on key risk issues and actions.

Acted as SME on UK and EU regulatory matters, leading system enhancements and delivering regulatory briefings (MiFID, MiCA, MAR, DORA) for senior leadership and external engagements. Managed industry body relationships (e.g. UK Finance) to support advocacy efforts. Drove stakeholder engagement, developed compliance training, and supported financial crime initiatives.

Led the conflicts of interest process across investment banking activities, personal account dealing, and outside business interests. Delivered tailored conflicts, ABC and other relevant compliance training to the investment banking division. Reviewed marketing materials to ensure compliance with market abuse regulations.

Organised a startup bootcamps in Cambodia, Thailand and Bangladesh which includes investor outreach, analysing startup pitch decks, organising meeting locations and performing marketing and media activities. Largest conference was organised in one week in Thailand, attracting 200+ attendees including government officials, investors, and founders. Assessed seed-stage startups for funding potential and provided mentorship on investment readiness and pitch development.

Developed and implemented firm-wide policies and procedures for managing conflicts of interest, including Personal Account Dealing, Outside Business Interests, and Gifts & Entertainment. Managed and coached a remote team in India, overseeing day-to-day processes and successfully establishing a breach management framework to strengthen compliance oversight.

Performed KYC reviews and PEP checks for complex client structures. Reported into the MLRO via the high risk client escalation process and summarised high risk cases and action points.

Established and and grew the Competition Litigation department, sourcing new business clients and conducting legal analysis to support case strategies and client acquisition.