Bal Shergill
London,UK
Summary
UK qualified Solicitor/ Lawyer with extensive Legal and Regulatory Compliance experience in financial services, commodities trading and an international law firm
Overview
25
25
years of professional experience
Work History
Compliance Officer
UBS/ Credit Suisse Investment Bank
London, UK
10.2015 - Current
- Compliance advisory support for Macro (Rates, FX, Derivatives), Equities, Emerging Markets, Structured Financing and Credit Trading
- Permanent - redundancy is effective as of December 2025
Compliance Officer
EDF TRADING (EDF Energy)
London, UK
02.2014 - 10.2015
- Compliance advisory support focusing on UK, EU and Asia (power, gas, coal, freight, oil and derivatives markets) with close North America liaison
- Permanent
Compliance Officer
LLOYDS BANKING GROUP
London, UK
08.2010 - 01.2014
- Provision of Compliance advisory and assurance support to Wholesale Banking & Markets
- Permanent
Consultancy / Contract Assignments
- Financial Services
London, UK
04.2003 - 08.2010
- JP Morgan/Sempra, London: Compliance Counsel - Commodities
- Goldman Sachs, London: Compliance Consultant - Securities Division
- Royal Bank of Canada, London: Compliance Officer - Capital Markets
- Barclays, London: Legal Consultant - Legal Risk Division
- Gartmore, London: Compliance Officer, Investment Division
- EUROMTS (part of the London Stock Exchange), London: Compliance Officer
- HSBC Bank PLC, London: Compliance Officer - Global Markets
- Credit Suisse, London: Compliance Officer - Capital Markets
Compliance Executive
LANDSBANKI
London, UK
08.2008 - 10.2008
- Provision of Compliance advisory support on Corporate Finance transactions
- Reason for leaving: Redundancy
Lawyer
WILMER HALE
London , UK
12.2000 - 03.2003
- Advised on various cross-border transactions including IPO, capital markets financing, venture capital, structured finance, private equity and M&A transactions
- Reason for leaving: Redundancy
Education
Solicitor - Lawyer
Solicitors Regulation Authority
UK01-2002
Legal Professional Skills Course -
BPP Law School
London, UK01-2001
Postgraduate Diploma - Legal Practice
University of Bristol
UK01-1996
LLB (Hons) - Law Degree
University of London (UCL) / Westminster
London, UK01-1995
Skills
- Regulatory compliance
- Compliance analysis
- Effective communication and interpersonal skills
- Attention to detail
- Team collaboration
- Compliance reporting
- KYC and AML compliance
- Document verification
- Legal research
- Compliance procedures
- Compliance reviews
- Documentation reviews
- Risk management
- Compliance training
- Team leadership
- Data analysis
- Data verification
- Due diligence
- Office suite, SharePoint, and web-based tools
Personal Information
Nationality: British
Timeline
Compliance Officer
UBS/ Credit Suisse Investment Bank
10.2015 - Current
Compliance Officer
EDF TRADING (EDF Energy)
02.2014 - 10.2015
Compliance Officer
LLOYDS BANKING GROUP
08.2010 - 01.2014
Compliance Executive
LANDSBANKI
08.2008 - 10.2008
Consultancy / Contract Assignments
- Financial Services
04.2003 - 08.2010
Lawyer
WILMER HALE
12.2000 - 03.2003
Solicitor - Lawyer
Solicitors Regulation Authority
Legal Professional Skills Course -
BPP Law School
Postgraduate Diploma - Legal Practice
University of Bristol
LLB (Hons) - Law Degree
University of London (UCL) / Westminster