I am a director within the financial services regulatory team, with a primary focus leading advisory work on the Financial Conduct Authority’s Client Assets rulebook (CASS). I also lead CASS internal audit work. My experience prior to joining the firm includes 22 years of practical and operational financial services compliance, during which time I have held several FCA controlled functions.
I lead our CASS work covering both regulatory advisory work as well as the provision of CASS internal audit services to the extensive number of co-source and outsourced internal audit clients. I also work supporting audit clients on their CASS reasonable assurance audits and undertake CASS regulatory due diligence in relation to deals and transactions. Clients include investment management firms, banks, peer to peer lenders, securities firms including brokers and insurance intermediaries. I have also undertaken safeguarding work with payment services providers, including e-money issuers and authorised payment institutions. Projects include skilled person reviews and advisory review engagements.
Outside work I enjoy music, performing with a local acapella chamber choir in Essex, for which I also act as chairman of the committee.
