- REGULATORY WEBINAR
- 13th AUGUST 2020
Steven is a Chartered Accountant and MBA and has worked in financial services regulation for 20 years with experience as a head of compliance at a SIPP administrator and London Market Insurance Broker. Steven leads payment services in the FS Regulatory Advisory team and specialises in governance and safeguarding
Steven leads delivery of Client Money and Custody Assets Internal Audits and provides specialist support to FRC Reasonable Assurance Client Money audits. Steven also leads delivery of work on safeguarding for E-money issuers and Authorised Payment Institutions
Steven has worked with a large platform and investment firm to facilitate its client money processes review and documentation of related controls. He was seconded to a firm to implement a client money governance and oversight model, to assist the firm to develop and document its associated risks and mitigating controls and also provided tailored client money training to the Compliance Monitoring and Internal Audit Teams. He performed an advisory role to develop an operational oversight programme including controls testing for an authorised fund manager.
Steven has undertaken s166 Skilled Person reviews assessing adequacy of governance and controls to ensure client money and custody asset compliance at wealth management firms. He has also recently been involved in two s166 Skilled Person reports for an e-money issuer and a payment services firm.