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Reviewing and reporting on the operational capability of a financial institution’s UK compliance function, including making recommendations for improvement.
Conducting assurance exercises to stress test governance arrangements against the requirements of the Senior Managers and Certification Regime.
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.