Simon is the Head of Retail at Complyport Limited. He is a compliance professional with more than 25 years extensive Financial Services experience gained from working in and with a broad spectrum of Financial Services companies. Directly involved in regulatory compliance for 20+ years, both as practitioner and consultant, and has dealt with a wide range of Financial Services regulators.
Specialist in Culture, Governance and Conduct issues, Senior Management Controls, enterprise-wide regulatory Risk Assessment, financial crime. Simon also has experience of specialist projects including Skilled Person Reviews, conduct risk investigations and past business reviews.
Simon has conducted audits on various financial institutions and has experience of providing consultancy services to many sectors.
Examples of Previous Projects:
- Managed a number of Past Business reviews across a variety of industry sectors (both client driven,and Regulator instigated)
- Led projects to deliver outcomes in relation to Governance, Systems and Controls, Culture and Ethics
- Led work on several S166 investigations relating to suitability, appropriateness of non-advised transactions and governance
- Implemented audit monitoring programmes assessing systems and controls against regulatory requirements and internal procedures
- Led a complaints assurance and past business review project over an 11-month period reviewing in particular the performance of the internal team’s quality assurance function