About James Lane — Reg Advantage Ltd

Background

Compliance that enables growth, not just manages risk

James Lane spent 15 years working across Legal, Compliance and Risk — at Linklaters, HSBC Global Banking & Markets, Citadel Securities, IMC and Engineers Gate. He has been the first UK hire at multiple firms, building legal, risk and compliance frameworks from scratch, delivering FCA authorisations from a standing start, and taking firms from zero to trading-ready. His background includes deep, hands-on experience with quantitative and systematic trading businesses — algorithmic market making, systematic credit, and global cross-asset algo trading compliance — alongside fundamental and discretionary strategies.

For smaller firms, his experience naturally crosses Chief Compliance Officer, General Counsel, Chief Risk Officer and Chief Operating Officer responsibilities — James holds recognised professional qualifications across these disciplines, from the CISI and the University of Law.

He has operated at the intersection of COOs, traders, technologists and business development teams throughout his career — compliance as an enabler, not a constraint. As the primary point of contact for external relationships including regulators, exchanges and brokers, external counsel, prudential consultants and compliance vendors.

James maintains an extensive network across buy and sell side firms to benchmark, influence policy and identify talent. He has been an active contributor via AfME, FIA EPTA and AIMA, with direct input to FCA and ESMA consultations. Direct contributor to the BIS FX Global Code and LBMA Precious Metals Code, and participated in central bank consultations regarding central bank digital currencies. Founding co-chair of the LBCO Algorithmic Trading Roundtable. Chair, HFM Legal AI Panel 2026.

The number of SMF 16/17 mandates James holds directly at any time is kept deliberately limited, assessed against the size, complexity and risk of each firm to remain proportionate and sufficient in the FCA's terms — read how the FCA views fractional SMF appointments →. As Reg Advantage grows its team of experienced resource, that capacity will expand accordingly.

MiFID II / UK MiFIR MiFIDPRU Algo / quant / RTS 6 MAR / surveillance Transaction reporting SMCR / SMF 16/17 FCA Part 4A Crypto / FSMA AML / KYC AIFM / CPMI SSR · Best execution

Qualified across Legal, Risk and Compliance — University of Law and CISI.

Industry & regulatory influence

Co-chair of the LBCO Algorithmic Trading Roundtable; chair of the HFM Legal AI Panel 2026; direct contributor to the BIS FX Global Code and LBMA Precious Metals Code. Active across AfME, FIA EPTA and AIMA, with direct input to FCA, ESMA and central bank consultations — and onsite regulatory reviews across the UK, Ireland, UAE, US, Hong Kong and Singapore.

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Career

Reg Advantage

Founder. Fractional CCO, regulatory compliance advisory and AI-powered compliance tools for financial services firms.

Engineers Gate

UK Head of Compliance. First UK hire for the NYC-headquartered quantitative multi-strategy hedge fund (~$5bn AUM).

Mapped, built and operated the UK compliance framework to the requirements of the UK Managing Partner and the US SEC RIA, in readiness for FCA Part 4A application and the move from AR to direct authorisation
Global equities long/short plus systematic credit and private credit
AIMA member
HFM Legal AI Panel Chair

IMC London

Chief Compliance & Risk Officer (SMF 16/17). First UK dedicated hire — took the business to 30 FTE in a broad role spanning compliance, risk and operational leadership.

Delivered FCA Part 4A authorisation
Built full compliance and risk framework for FX and precious metals derivatives market making
Chaired the risk committee
Primary liaison with exchanges, prime brokers and clearing brokers
Supported crypto acquisition integrations, including regulatory location strategy for a regulated crypto office
FIA EPTA PTF member

Citadel Securities

EMEA Deputy CCO — Systematic & Proprietary Trading.

EMEA cash equities and futures
Singapore and London crypto derivative market making launch
Middle East markets expansion
FIA EPTA PTF and Digital Asset WG member

HSBC Global Banking & Markets

VP Compliance — Global cross-asset lead for algorithmic trading and digital compliance, plus UK FX & Commodities.

Eight years on the London trading floor
MiFID II global compliance lead for algorithmic trading (RTS 6)
Global compliance lead for tokenisation of FX and gold — intragroup and external settlement, and central bank digital currencies
Led corporate sales derivatives mis-selling remediation; built global sales suitability and appropriateness frameworks
Delivered global surveillance builds across trade, e-comms and voice
Developed global policy and training on spoofing, front-running, manipulation and MAR
Direct contributor to drafting of the BIS FX Global Code and LBMA Precious Metals Code
AfME membership and engagement
Founded and co-chaired the interbank algo-trading compliance roundtable

Linklaters

Three years in contentious disciplines including managing large-scale international multi-year regulatory investigations (FCA, DoJ, CFTC, JFSA, AMF) for European banking clients including FX and LIBOR/EURIBOR, and UK employment tribunal caseload.