Experience

I provide practical regulatory advice to financial services firms, working within our specialist financial regulatory consultancy, Bates Wells Compliance. I have particular specialism and interest in consumer credit and social finance, and enjoy working with firms inspired to make a positive social impact. More widely, I have supported clients in a range of sectors from wealth management, venture capital, fintech, banking, e-money and payment services.

 

I’m also involved in Bates Wells’ wider multi-disciplinary Impact Economy work, bringing in sector knowledge and regulatory perspectives alongside our legal, impact and advisory expertise.

I bring a breadth of hands-on operational, governance and leadership experience, working within the growing social impact finance market as well as the wider social sector in the UK and overseas.  My advice is highly pragmatic and practical, and I like to make sure my recommendations are closely tailored to the needs and circumstances of each client.

Recent projects

  • Delivering SM&CR workshops for FCA regulated firms

    I designed and facilitated new practical training sessions and webinars, providing support and insight to senior leaders preparing for the FCA’s Senior Managers & Certification accountability regime.

  • Undertaking a compliance healthcheck for a social impact crowdfunding platform

    I reviewed the firm’s documentation and processes, conducted interviews and drafted a report with recommendations for how to improve their compliance framework.

  • Reviewing financial promotions material for a venture capital firm

    I evaluated investment materials and application forms for a retail facing venture capital fund, providing feedback to ensure the documents were compliant.

  • Preparing an FCA authorisation application for a US-based private equity firm
  • Advising a new entrant to the social impact investment market on the authorisation options available to them
  • Reviewing financial promotional materials for a social impact investing network
  • Conducting SM&CR training to members of the UKCFA
  • Providing technical advice to clients on governance and accountability issues
  • Convening and leading quarterly social impact compliance roundtable meetings
  • Undertaking a feasibility project for a public sector body on creating a property fund and trust
  • Advising an authorised consumer credit firm on operational management of compliance risks
  • Leading a full, successful FCA authorisation application for a consumer credit business

Qualifications and career

  • Joined Bates Wells as Compliance Consultant, 2017
  • Independent social sector Adviser and Associate at Practical Governance, 2016 to date
  • Head of Operations at Fair Finance, 2012
  • Compliance Manager at Christian Aid, 2009
  • Programme Funding and Compliance at Christian Aid, 2005
  • University of Birmingham, MSc Global Ethics 2004
  • University of Birmingham, BSc (Hons) Physics, 2003

Pro bono, memberships, and appointments

  • Trustee of Oasis Community Partnerships
  • Trustee of People Charity
  • Volunteer adviser to Ella’s Home
  • Investment Committee member for the Centre for Innovation in Voluntary Action (CIVA)