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The growing issue of ‘gone away’ clients in the financial services sector
Paul Jennings

03 December 2018

'Gone away' clients cause issues with anti money laundering (AML) and other regulatory compliance issues for pension providers and financial services firms. Find out how RSM can help you trace and reconnect with gone aways.

Rob Gordon

Partner

Rob Gordon is a risk advisory partner and leads RSM’s financial services internal audit and assurance offering in London and South East. He provides outsourced and co-sourced internal audit and assurance to clients.

Paul Jennings

Partner

Paul specialises in regulatory compliance including three lines of defence, governance and SM&CR, Authorisations, conduct risk, market abuse, financial promotions, Compliance Surveillance Systems, AML/Financial Crime, Treating Customers Fairly and s166 skilled person reviews. Paul has significant experience leading assurance reviews, implementation projects, reviewing audit and control functions, improving sales processes, conducting back book reviews, monitoring and suitability assessments, delivering robust governance arrangements and establishing effective processes and controls.

RSM strengthens financial services risk assurance capability with key partner hire
Jonathan Pepper

15 August 2018

Leading audit, tax and consulting firm RSM has appointed Rob Gordon as a risk assurance partner to lead its financial services internal audit and assurance offering in London and the South East.

Neil Pickles

Partner

Neil is a partner in our risk assurance practice. He has many years’ experience providing regulatory compliance, risk management and internal audit services to financial services organisations. Neil is an expert in governance, risk and control, as well as the PRA regulatory environment. Neil leads RSM’s financial services sector group in the Northwest of England.

Financial services compliance

RSM’s comprehensive financial services compliance service includes compliance documents, consultations, template documentation, and extra resources from our compliance support team, monitoring and bespoke training. We always tailor our compliance services to meet the specific needs of our client.

Monthly regulatory updates

In this fast changing environment it can be difficult to stay abreast of developments and ensure that your firm is compliant with rules and regulations.

Mike Gennard

Partner

Mike has more than 30 years experience in providing risk assurance services to a wide range of public and private sector organisations.

David Fenton

Partner, Co-Head of Financial Services

David co-leads the UK Financial Services Practice at RSM. His areas of expertise span a broad range of investment and trading businesses. These include asset & wealth managers, broker/dealers, prop traders, retail and institutional stockbrokers, investment banks and Fintech. David also sits on the RSM FCA Section166 skilled persons panel.

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