I am a partner in our Financial Services Regulatory Advisory practice where I help clients dealing with the challenges of current regulation or emerging requirements. I am one of the most active individuals in the UK carrying out Skilled Person Reviews instigated by the regulator, alongside which I also frequently advise firms on how to respond to a regulatory investigation.
I have specialist expertise in a wide range of conduct matters, both wholesale market issues within the securities and investment management sectors, and retail issues within the wealth management, advisory and lending sectors. I have also been active over many years in client asset and client money issues and investment firm prudential requirements, while projects I have run on effective risk management frameworks and on improving product governance have given me exposure to a broad sweep of the financial services industry.
Having spent 10 (of my 30) years working in the industry in senior risk and regulatory management roles in some major organisations, I feel I have a good sense of what regulated firms can accomplish in practice, as well as a strong sense of what the regulator needs to see.
When not working I am kept busy supporting the ever-expanding hobbies and social lives of my three daughters. Any time which remains is spent as an avid fan of American football – on my office desk there is always a football close to hand.
