Lisa Lee Lewis
Head of advisory – Risk consulting
Norton Rose Fulbright LLP
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Lisa Lee Lewis is Head of Advisory in our Risk Consulting practice.
She has advised on many aspects of regulatory compliance and financial crime for over 13 years and has assisted a variety of financial institutions, ranging from asset managers, banks, exchanges, insurers, brokers to commodity, payment services, e-money, cryptocurrency and consumer credit firms.
Lisa has a vast range of experience in providing technical and practical advice in helping clients meet their specific regulatory and compliance obligations. Engagements include:
- analysing and supporting firms implement regulatory change;
- analysing management information and board reports, including enhancing governance arrangements;
- developing, evaluating and improving compliance and financial crime frameworks, policies and procedures;
- leading s166 reviews;
- performing independent assurance assessments;
- preparing firms for regulatory reviews;
- helping firms manage their relationship with regulators;
- undertaking independent monitoring;
- providing ongoing legal and compliance support;
- delivering bespoke training for management, front office, compliance and risk staff;
- seeking authorizations and deregistrations, and assisting with senior manager applications;
- undertaking remediation programs.
Lisa gained substantial experience from an in-house role at a global financial services brokerage firm where she had responsibility for a wide range of regulatory compliance and financial crime matters. Her knowledge spans many aspects of regulatory change affecting the UK and EU financial services sector, including implications arising from Brexit. Lisa has a broad understanding across a range of regulatory areas, including MIFID II, AIFMD, SMCR, PSD, EMD, MAR, money laundering, consumer credit and operational resilience. She also has detailed working knowledge and an excellent understanding of the FCA and PRA handbooks, regulatory processes and procedures.
As an experienced solicitor and compliance professional, Lisa is a focused advisor with a strong legal and compliance financial services background. She has a demonstrable track record in analysing complex regulatory issues, and providing both technical advice and practical solutions to regulatory risk and compliance matters.
- Solicitor qualified in England & Wales
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Publication | September 30, 2020