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.
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.
I reviewed the firm’s documentation and processes, conducted interviews and drafted a report with recommendations for how to improve their compliance framework.
I evaluated investment materials and application forms for a retail facing venture capital fund, providing feedback to ensure the documents were compliant.