Leadership

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, and digital transformation, with a proven track record of navigating complex regulatory landscapes.

In his previous roles at regulated firms, Roderic has led compliance efforts, overseeing and ensuring that business practices align with regulatory standards such as COBS and SYSC. As an experienced Compliance Officer and Money Laundering Reporting Officer (MLRO), he effectively manages the full scope of AML compliance, including financial crime risk assessments, due diligence procedures, and compliance reporting to the FCA via FCA Connect.

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 regulatory 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 FCA approvals as Executive Director (SMF 3), Compliance Oversight (SMF 16), and Money Laundering Reporting Officer (SMF 17), Roderic is dedicated to ensuring the business complies with FCA and HMRC regulations, particularly in areas concerning non-mainstream investments and securities investment 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, particularly within the retail consumer marketplace. He is an expert in developing and implementing regulatory frameworks, enhancing operational efficiencies, and fostering compliance cultures within organisations. His background, having served as an Infantry soldier in the British Army, equips him with a unique approach to leadership, discipline, and resilience under pressure.

In his previous roles, James has led initiatives focused on regulatory compliance, including the implementation of the Senior Managers & Certification Regime (SMCR). 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 strong due diligence processes. James has played a crucial role in driving digital transformation by transitioning offline systems to more efficient, automated platforms, while also enhancing internal controls and regulatory reporting.

James holds active FCA approvals as Executive Director (SMF 3), Compliance Oversight (SMF 16), and Money Laundering Reporting Officer (SMF 17), ensuring that the business operates in full compliance with regulatory standards such as COBS, SYSC, and other FCA requirements. His deep understanding of FCA-regulated businesses, particularly in the context of sales and automation cycles, is a valuable asset to the firm, especially when managing non-mainstream investments (NMPIs) and investment securities more broadly.

James earned an MBA from Bayes Business School and holds certifications from the CFA in Investment Management and ESG Investing. He also holds Investment Advice Diplomas in Securities & Derivatives and an Investment Operations Certificate from the Chartered Institute of Securities and Investment. His vast experience and steadfast commitment to compliance are pivotal in driving Enigma Trustee’s continued success and expanding client base.

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.