Roderic Owen-Thomas is the Co-Founder and Executive Director of Enigma Security Trustees Limited, with over 20 years of experience in the finance industry. A dynamic executive, Roderic possesses a deep understanding of investment management, compliance, and trading within the retail consumer marketplace. He is highly skilled in creating and implementing regulatory frameworks, driving operational efficiencies, and fostering a compliance-driven culture within organisations.
Roderic’s expertise extends to KYC, AML/CTF, risk management, with a proven track record of navigating complex regulatory landscapes.
In his previous roles at regulated firms, Roderic has led compliance efforts, ensuring that business practices align with applicable regulatory standards. As an experienced Compliance Officer and Money Laundering Reporting Officer (MLRO), he has effectively managed the full scope of AML compliance, including financial crime risk assessments, due diligence procedures, and compliance reporting.
Roderic has also been responsible for overseeing critical risk and compliance frameworks, such as Compliance Monitoring Plans and Internal Capital and Risk Assessments (ICARA), ensuring that business operations meet the highest governance and operational standards. He has played a vital role in reviewing and approving various asset classes and investor classifications, including Prospectus, KIID, and due diligence reviews.
Holding senior leadership responsibilities in compliance oversight and anti-money laundering, Roderic is dedicated to ensuring that the business operates in full accordance with relevant UK and international regulations, particularly in areas concerning non-mainstream investments and securities products.
Roderic has held senior roles at Tier 1 financial institutions, including Citi, UBS, and Barclays, where he worked with institutional clients as well as high-net-worth (HNW) and ultra-high-net-worth (UHNW) individuals. His extensive experience and leadership continue to drive the success of Enigma Security Trustees, contributing to its impressive growth and client-centric approach.
Roderic serves as the firm’s Responsible Person (RP), having passed HMRC’s Fit and Proper Person Test in accordance with the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017.
James Lawrence is an accomplished Executive Director and Co-Founder of Enigma Trustees Limited, bringing over 15 years of experience in investment management, compliance, and trading. He is an expert in developing and implementing regulatory frameworks, enhancing operational efficiencies, and fostering compliance-focused cultures within organisations.
In his previous roles, James has led initiatives focused on regulatory compliance, including the implementation of senior management governance frameworks. He has been responsible for overseeing all aspects of Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) compliance, managing financial crime risk assessments, and ensuring robust due diligence processes. James has also driven digital transformation projects, transitioning offline systems to more efficient, automated platforms while strengthening internal controls and compliance reporting.
He holds an MBA from Bayes Business School and professional certifications from the CFA Institute in Investment Management and ESG Investing. He also holds Investment Advice Diplomas in Securities & Derivatives and an Investment Operations Certificate from the Chartered Institute for Securities and Investment (CISI). His expertise and commitment to integrity and governance are central to Enigma Trustees’ continued success and expanding client relationships.
James serves as the firm’s Responsible Person (RP), having passed HMRC’s Fit and Proper Person Test in accordance with the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017.
