John Coley

Head of Regulatory Compliance Consulting, Europe, Middle East and Asia
Norton Rose Fulbright LLP

John Coley

John Coley

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Biography

John Coley is head of our Regulatory Compliance Consulting practice for Europe, the Middle East and Asia. He advises clients across the regulatory spectrum and lifecycle, helping them to assess current arrangements, design and build improvements, and implement and embed new processes.

John has over 23 years' experience of financial services, across both business and regulation. He has run his own business and worked at the UK's financial services conduct regulator, the Financial Conduct Authority (FCA).

John works across a variety of regulatory engagements, including the following: 

  • Helping clients start new financial services businesses, including authorisations
  • FCA interviews and training, including mock interviews
  • Regulatory reviews
  • Governance and oversight arrangements
  • Conduct risk management frameworks and management information
  • Compliance and risk frameworks
  • Product governance
  • Regulatory policies and procedures
  • Sales practices, lending and advice
  • File reviews and customer outcomes
  • Post-sales handling, including complaints and arrears processes

John is skilled in helping clients manage relationships with regulators.

He also has extensive experience of regulatory Skilled Person's Reviews (s166) and of FCA enforcement practices. He has led a range of large and complex engagements, involving: regulatory reviews; business transformation processes; operating model changes; remediation and redress.


Professional experience

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  • English

Knowledge

Regulatory compliance consulting hub

Publication | May 10, 2019