Biography
Catherine is a partner at RSM, specialising in providing regulatory advice and guidance to financial services firms. Prior to joining RSM, she worked at the Big Four, and held senior compliance positions in regulated firms.
Catherine has led several s166 Skilled Person Reviews on behalf of the Financial Services and Markets Act (FCA), focusing on areas such as governance, systems and controls, financial crime, and conduct and culture. She supports our clients to understand and implement regulatory change. Examples of this include the FCA’s Consumer Duty and the Senior Managers and Certification Regime.
Catherine has a diverse client base across the financial services sector, including banks, consumer credit firms, insurers and insurance intermediaries, payment services, wealth and asset managers, and building societies. She supports firms in gaining authorisation to undertake regulated activities and helps established firms ensure they are adequately managing regulatory risk through their compliance frameworks.
Qualifications: LLB Law with French Law and Language. LLM International Commercial and Business Law.