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Current projects for clients have concentrated on implementing ISO27001 in professional service firms in a way that is non-bureaucratic and aligns with the existing professional culture. Analysis is a strong theme in Malcolm's work: taking external requirements, working out what is involved, making decisions and then on to implementation. The driving philosophy is that while external regulations (such as FCA or ISO) must be satisfied, it is a mistake to be driven by them and a key principle is to start by looking at the characteristics of the business rather than the rule and ask "What are you already doing that could satisfy the rule?" and "What would be useful for you as a business?"Services include the following areas:- Policy and procedures- Governance and structure- Boundary between regulated and non-regulated work- Application for regulatory licences- Internal audits and investigations - AML and financial crime- DPB authorisation- DPB annual compliance review - Regulatory returns- Capital adequacy and liquidity - Financial promotions- Training and competence- Treating customers fairly- Conflict management- Remuneration arrangements- ISO9001 quality management- ISO27001 information security- Pop-up compliance support in any or all of the aboveProfessional qualifications / activities:- Member of the Association of Professional Compliance Consultants- Associate of the Institute and Faculty of Actuaries (until 2019)- Member of the Institute and Faculty of Actuaries DPB Board (2006 to 2019)- Member of the Institute and Faculty of Actuaries Professional Content Development Working Group (2014-2017)- Fellow of the Institute of Personnel and Development- Member of the Institute of Quality Assurance- Qualified internal auditor.
Malcolm Lee Consulting
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Compliance ConsultantMalcolm Lee Consulting 2014 - PresentAn independent consultant providing pragmatic solutions that meet both regulatory requirements and business needs. See www.malcolmleeconsulting.co.uk for further details.
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Global Regulatory Compliance ManagerTowers Watson 2012 - 2014Global compliance manager for investment work. -
Compliance Officer And MlroTowers Watson 2001 - 2014Roles and achievements include:- Deputy Compliance Officer in 1994, becoming Compliance Officer in 2001- Chair of Compliance Committee- Money Laundering Reporting Officer, relocating client verification activities to lower-cost jurisdictions in Uruguay and Delhi- External speaker on the Financial Services and Markets Act for the Institute of Actuaries on their professionalism courses between 1997 to 2008- From 2006, a member of the Institute of Actuaries' regulatory DPB Committee.
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Quality / Risk ManagerWatson Wyatt 1994 - 2010Technical and management achievements include:- Quality Manager, achieving ISO9001 for all client work from all UK offices- Information Security Manager, gaining ISO27001 certification for the UK in 2006 and for Manila in 2009- Manager of the Global Conflict Checking process (launched globally in 2006)- Chair of Global Records Management Policy Group, gaining agreement to a global retention policy- Member of Global WorkExcellence Leadership Group and of the Global Information Security Team
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Training ManagerR Watson & Sons 1984 - 1996Achievements include:- design and implementation of a graduate training programme, reducing the training period from one year to three months- introduced a programme of management training courses- redesigned the appraisal system by analysing the criteria and tailoring the design for busy people; the re-designed system was featured in The Actuary and was the keynote lecture in an event for actuarial firms- conducted a management skills training programme for local Head Teachers
Malcolm Lee Skills
Malcolm Lee Education Details
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Statistics -
Reigate Grammar School
Frequently Asked Questions about Malcolm Lee
What company does Malcolm Lee work for?
Malcolm Lee works for Malcolm Lee Consulting
What is Malcolm Lee's role at the current company?
Malcolm Lee's current role is Compliance Consultant at Malcolm Lee Consulting.
What is Malcolm Lee's email address?
Malcolm Lee's email address is ma****@****bal.net
What is Malcolm Lee's direct phone number?
Malcolm Lee's direct phone number is +181776*****
What schools did Malcolm Lee attend?
Malcolm Lee attended University Of St. Andrews, Reigate Grammar School.
What are some of Malcolm Lee's interests?
Malcolm Lee has interest in Hobbies Include, Gardening And Growing Own Vegetables, Theatre, My 1983 Mini, Walking, Cinema.
What skills is Malcolm Lee known for?
Malcolm Lee has skills like Risk Management, Financial Risk, Financial Services, Fsa, Pensions, Corporate Governance, Compliance, Iso Standards, Defined Benefit, Actuarial Science, Pension Funds, Aml.
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