Senior Compliance Manager
Norton Rose Fulbright LLP
Related services and key industries
Iain is a Senior Compliance Manager in our Risk Consulting practice for Europe, Middle East and Asia. He advises clients on regulatory conduct matters across the regulatory lifecycle. He has supported clients seeking authorisation, preparing for the implementation of new regulatory conduct rules, reviewing existing practices across the customer journey and dealing with regulatory intervention (e.g. enforcement action and Section 166 Skilled Persons reviews). He has particular experience within the retail banking, mortgages and consumer credit sectors.
Prior to joining Norton Rose Fulbright, Iain spent five years working in PricewaterhouseCoopers LLP's Financial Services Risk and Regulation practice. He also worked at the Financial Conduct Authority and its predecessor the Financial Services Authority for eight years during which time he supervised a number of dual and solo regulated firms.
Iain works across a variety of regulatory conduct engagements, including the following:
- Helping clients set up and establish a new financial services business, including regulatory authorisations;
- Regulatory conduct reviews in respect of Financial Conduct Authority ("FCA") compliance;
- Conduct risk management frameworks and conduct management information ("conduct MI");
- Compliance framework reviews / compliance effectiveness reviews;
- Product governance reviews;
- Review of regulatory conduct policies across the customer journey;
- Customer outcomes reviews across the customer journey;
- Sales practices, including provision of regulated advice to customers;
- Post-sales handling reviews, including regulated complaints handling, collections / arrears and repossessions handling practices; and
- Regulatory conduct-focused due diligence.
Iain has also supported firms in setting up and executing consumer redress schemes and those going through an FCA enforcement investigation.
Publication | September 07, 2020
Publication | July 27, 2020
Video | September 28, 2020