FCA outlines assertive supervisory plans for wealth management firms
Gary is an experienced Regulatory Consultant, having worked in financial services compliance for over
Gary is an experienced Regulatory Consultant, having worked in financial services compliance for over 20 years. He has worked at executive level, and as an approved person, across risk, compliance and audit, as well as performing the role of Chief Risk Officer.
In addition to his experience with adviser firms, including networks, Gary has also worked in insurance, mortgage, consumer finance and banking. He is proficient in all aspects of regulation including COB, ICOB, MCOB, CONC, Corporate Governance, Systems and Controls, Operational & Enterprise Risk, Training & Competency as well as Regulatory relationship management, Skilled Persons and Enforcement.