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Conducting assurance exercises to stress test governance arrangements against the requirements of the Senior Managers and Certification Regime.
Assessing the adequacy and appropriateness of a financial institution’s policies and procedures relating to LIBOR transition across multiple products and business lines.
Reviewing and reporting on the operational capability of a financial institution’s UK compliance function, including making recommendations for improvement.
Reviewing a financial institution’s conduct risk and governance arrangements in response to an FCA evaluation.
Authoring a report on Ethics in Banking and Finance in conjunction with UK Finance.
Advising an EMEA Head of Compliance on a firm’s internal review of the compliance function.