Director, Financial Services Regulatory Advisory, RSM International
Catherine is a regulatory compliance specialist. She has worked in a number of consultancy roles, including at the “Big 4”. In addition, she has undertaken senior Compliance roles in a number of regulated financial services firms.
Catherine has expert knowledge of FCA regulation across a diverse range of financial services sectors. She has worked closely with the regulator leading a number of Skilled Person Reviews (s.166) and firm authorisation applications and therefore has significant insight into the regulator’s expectations. Catherine specialises in areas including, governance, conduct risk and financial crime.
Catherine works with firms based in the UK and globally and therefore has strong knowledge of the regulators and regulations applicable in jurisdictions outside of the UK.
Catherine frequently supports our clients to undertake assurance reviews, benchmarking their current processes and controls against regulatory standards and those of the wider market.
Having worked in regulated firms, Catherine understands the need to provide pragmatic solutions which balance regulatory compliance with commercial objectives.
Qualifications
LLM International Commercial & Business Law, LLB Law with French Law & Language