Biography
Paul is an experienced financial services professional having worked for the Financial Conduct Authority, two of the 'big four' consultancy firms where he specialised in regulatory compliance, and has held senior positions in private banking.
He has recently conducted MiFID II assurance work focusing on transaction and regulatory reporting, a GDPR assessment, the regulatory assessment of the implementation of a private banking platform, a review of the governance, AML arrangements and compliance surveillance systems for a private bank.
Paul has worked on a number of s166 and Enforcement cases first at the FSA and later at EY and KPMG. Theses reviews focused on areas including mortgage endowments, compliant handling, PPI, AML controls and compliance surveillance systems. He works with a range of key stakeholders including CEOs, Non-Executive Directors, Heads of Risk, Compliance and Audit.
Paul regularly speaks on regulatory issues including SM&CR and control frameworks.
Qualifications: LLB (Hons), LLM, Financial Planning Certificate (Chartered Insurance Institute) Parts 1 and 2, UK Regulation and Professional Integrity (CISI), Barrister-at-Law (Called to the Bar in June 2000).