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