Sector Expertise and Key Skills
Investment Banks, Private banks, Asset managers, Wealth Management, Retail banks, Insurance companies
Regulatory Risk Strategy, Compliance Advisory; Monitoring Assurance impact assessments; Prudential regulation; Corporate Governance; Conduct of Business Risks [e.g. retail TCF/ to wholesale Market Conduct/Market Abuse]; Regulatory Engagement/Affairs; Preparing for Regulatory Visits or remediation (e.g. ARROW, Skilled Persons & Thematic Reviews); Relationship Management [Stakeholder engagement, and managing outsourced/ branch activity/ Appointed Rep Networks]
Charles is a highly experienced, personable and technically qualified compliance, governance and risk professional. Over 20 years’ experience with a strong strategic and operational background, FSA registered and provided advice to minimise risks or enact proportionate remediation to risk changes.
He has strong analytical, problem solving and relationship management skills. able to coordinate, collaborate and communicate with executives, business partners and regulatory stakeholders, to provide pragmatic, customer centric and commercially viable solutions on strategic or operational issues.
With analytical skills in, interpreting, supporting, informing, challenging and reporting on the design, delivery, and regulatory remediation. Project Management of risk rectification with extensive expertise in conduct risk mitigation, across retail and wholesale industries, and supervisory engagement.
He has consistently shown strong leadership of strategic and operational compliance and technical advisory support functions and has excellent knowledge of regulatory compliance and risk management.
Commercially astute with a proven ability to think strategically about commercial risks, to translate the required ‘change’ into proportional solutions and operational delivery, and leadership to regulatory or risk change.
Authorised by the FSA as an Approved Person [Significant Influence Governance function, Compliance Oversight (CF10) and MLRO (CF11)]. Previously, FSA Key Individual registered role
Delivered thought leadership, training or effective reporting to multiple disciplinary GRC teams: construct practical assessments to senior stakeholders or front-line staff informed about change.
QUALIFICATIONS, EDUCATION AND PROFESSIONAL MEMBERSHIPS
Fellow of the ifs School of Finance (Fifs): Chartered Institute of Bankers associate examinations
Chartered Fellow (Chartered FCSI) of the Chartered Institute for Securities & Investment (CISI):
Securities Institute Diploma, Regulation & Compliance (1998) [UK/EU Qualification Level 6]
Elected CISI Compliance committee (2003–to date). Technical examination specialist.
Part-qualified ACCA and ACII – completed or hold exemptions from professional examinations
Investment Advisor qualified: FSA RDR professionalism rules exempt from FPC1-3 and IMC
University: BA (Hons) Financial Services, Sheffield Hallam University (1993-1996)
Phone: + 44 (0) 207 558 8163