Denise Green Email and Phone Number

Manager of Supervision Team in Retail Banking & Payments Department

Currently supervising C2 (what was ML and MH impact) wealth management firms. Experienced in S166, risk assessments and FCA's new Firm Supervisory Framework.I spent 3 years working with small stockbroking firms looking at selling practices, demonstration of suitability and systems and controls. Gained experience dealing with S166s during this time.From March 2012 to 1 April 2013 I took responsibility of supervising two relationship managed large wealth management firms and a network. From 15 July 2013 to date I have been an Acting Lead Supervisor within the supervision team of the Wealth Management & Private Banking Department. This Department supervises a number of C2 Private Banks and a variety of wealth management firms and CFD and spreadbetting entities. Over the years I have gained experience in taking firms through the enforcement process, a SAR, S166s, ARROWs, Risk Assessments and more recently the new FCA Firm Supervisory Framework which includes Periodic Assessments of C3 firms, Proactive Engagement Meetings, Deep Dives, Interim Reviews and Annual Strategy Meetings for C2 firms.

Team leader in various roles within Late Returns Team, PII Unit, Data Capture & Validation Team,.

Associate within the Analysis and Risk Department and the Investment Intermediaries Department - Analysis and Risk Department working as team leader in Triage. Responsibilities included assessing information coming into team and raising cases where appropriate. Role within IID related to project on quality of advice.