Head of Financial Services Regulatory Advisory, RSM International
Paul is a financial services sector expert, having worked for the FSA, two ‘Big 4’ consultancy firms (specialising in regulatory compliance), and in private banking where he held various senior roles, including Head of Front Office Risk and Control and Commercial Chief of Staff where he was responsible for credit.
Paul specialises in regulatory change, governance, front office controls including surveillance systems, conduct risk, financial promotions, AML/Financial Crime and TCF. He has significant experience leading audits, implementation projects, reviewing audit and control functions, delivering robust governance arrangements and establishing effective processes and controls.
Paul has worked on a number of regulatory interventions and enforcement cases at the FSA, EY and KPMG. He has conducted a range of reviews focusing on governance, conduct risk and financial crime. He works with a range of key stakeholders including CEOs, non-executive directors, heads of risk, compliance and audit. Paul is currently the Head of Internal Audit at an asset manager with circa £45 billion in assets.
Qualifications
LLB (Hons), LLM, Certified Person under SMR, Financial Planning Certificate (Chartered Insurance Institute) Parts 1 and 2, UK Regulation and Professional Integrity (Chartered Institute for Securities & Investment), Barrister-at-Law (Called to the Bar in June 2000), Member of the Inner Temple.