Managing Director - Fs Regulatory Compliance
CurrentSimon is Managing Director of the FS Regulatory Compliance Practice within Konexo UK a division of Eversheds Sutherland the international law firm.Konexo provides a broad portfolio of managed services, interim resource solutions and consultancy services to in house legal, compliance, HR and corporate secretarial functions. The group deploys the latest intelligent analytics, automation technology and innovative operational processes to offer unparalleled flexible access to the right blend of skills and experience. Over 30 years Simon has been advising financial services firms on regulatory matters specialising particularly with culture, governance, systems and controls and conduct areas. Simon has experience of assisting firms with regulatory projects such as Senior Managers and Certification regime, Skilled Person, past business and remediation reviews. Eversheds Sutherland is on the FCA/PRA's Skilled Person panel for governance and conduct of business.Experience:Managed numerous Senior Manager and Certification Regime projects as well as governance reviews;Managed and delivered a number of Skilled Persons Reviews;Managed a number of past business reviews across a variety of industry sectors;Liaison with the FCA in respect of critical client's issues and appointed as expert adviser to the FCA on a specific enforcement case;Provision of strategic compliance and delivery of practical implementation advice in relation to regulatory changes as well as providing a sounding board for Boards in relation to business alignment to regulatory imperatives;Provision of regulatory training to boards, compliance, operational staff and senior management;Conducting due diligence activities on behalf of firms wishing to invest in Financial Services firms;Managed engagements with firms as they undertook major complaints remediation programmes.Frequent speaker at industry events as well as writing articles on topical regulatory issues.
