David Croker Email & Phone Number

London, United Kingdom

Senior Manager in the Asset Management Regulatory Practice.

London, United Kingdom

Manager within the asset management regulatory practice.The asset management regulatory team advises PwC’s asset management clients on the full range of regulatory issues. Their work includes assisting clients in relation to their interactions with the regulatory authorities (notably the UK FSA). This encompasses authorisations, preparing clients for and advising on management of the inspection process, dealing with outcomes and assisting in remediation The team also works with… Show more Manager within the asset management regulatory practice.The asset management regulatory team advises PwC’s asset management clients on the full range of regulatory issues. Their work includes assisting clients in relation to their interactions with the regulatory authorities (notably the UK FSA). This encompasses authorisations, preparing clients for and advising on management of the inspection process, dealing with outcomes and assisting in remediation The team also works with clients on structuring businesses, funds and products from a regulatory perspective; arranging for authorisations and assessing compliance procedures; reviewing systems and controls to effect reviews of the compliance and regulatory function. Show less

London, United Kingdom

Lead supervisor for a range of FTSE listed Asset Management firms and Private Banks as well as being a departmental specialist on Basel II and the Capital Requirements Directive. The role involves leading ARROW Risk assessments, ensuring firms are complying with current regulation, are prepared for forthcoming changes to regulation and identifying risks in firms business models, governance structures and opertaions. In addition to the supervisory work, i have been responsible for conducting the… Show more Lead supervisor for a range of FTSE listed Asset Management firms and Private Banks as well as being a departmental specialist on Basel II and the Capital Requirements Directive. The role involves leading ARROW Risk assessments, ensuring firms are complying with current regulation, are prepared for forthcoming changes to regulation and identifying risks in firms business models, governance structures and opertaions. In addition to the supervisory work, i have been responsible for conducting the analysis of ICAAP's submitted by firms within the Asset Management department and been involved in setting Individual Capital Guidance for each of these firms following this analysis.I have taken a lead role in thematic projects as well as internal FSA projects focussed on the impact of regulatory change and the new regulatory structure. Show less

London, United Kingdom

A six month paid secondment to enhance my knowledge of the challenges faced within the Asset management sector. The role involved working closely with the management teams of the Retail and Investment compliance teams to lead project work focussed on regulatory change and its impact on the business. In addition to the regulatory change project work, i spent time working within the trade monitoring team. I was involved in some commitee meetings and worked with retail compliance to help the… Show more A six month paid secondment to enhance my knowledge of the challenges faced within the Asset management sector. The role involved working closely with the management teams of the Retail and Investment compliance teams to lead project work focussed on regulatory change and its impact on the business. In addition to the regulatory change project work, i spent time working within the trade monitoring team. I was involved in some commitee meetings and worked with retail compliance to help the department understand its resourcing needs. Show less

London, United Kingdom

This role involved working closely with both internal and external clients to provide detailed financial analysis and management information on levels of legal spend and profitability within the business. As part of the role i was also responsible for providing financial information for inclusion in pitch documentation and for new client presentations. As the role developed i provided assistance to partners and senior management during rate negotiations with large external clients and was… Show more This role involved working closely with both internal and external clients to provide detailed financial analysis and management information on levels of legal spend and profitability within the business. As part of the role i was also responsible for providing financial information for inclusion in pitch documentation and for new client presentations. As the role developed i provided assistance to partners and senior management during rate negotiations with large external clients and was involved in strategic business projects focussed on improving the profitability of the firm. Show less