Chartered FCSI FISMM Cert PFS
Awarded Chartered Fellowship of the Chartered Institute for Securities and Investments in 2011 Lee delivered a presentation to the British bankers Association in Jan 2013 on “Responding to a S166 Requirements Notice and managing the Risk Mitigation Program”. In the last 12 months has been involved in setting up a bank, implementing a conduct risk framework for a large financial institution and developing online products including much Social Media and its application in Financial Services, delivering a talk at the “Provider’s Forum” in September. Previous to that, working with IFAs in RDR preparation including strategy, systems and controls, sales processes and cultural changes. Previous to that been involved in risk design and delivery for RMP deliverables for ICAP and providing compliance advisory assistance to Standard Bank working closely with the regulators for POTAM and DTR reporting. Lee has written and published a “Compliance Manager’s Guidebook & Reference”, “Business Risk Analysis & Management System” and more recently the “Conduct Risk” book both in print and EBooks and for the Amazon Kindle.
Lee also writes for the IFA Magazine under the banner of the “Compliance Doctor” and in September 2011 had a substantial piece published on UCIS and IFA impacts and another in October 2013 on “Conduct Risk”. Lee is aware of the contemporary regulatory territory. He has provided departmental compliance readiness to a major high-street bank, working with their direct sales force sales quality assurance and scoring system and dealing with external provider platform systems that interfaced with the retail banking systems to provide ease of use for advisers and customers.
In 2008 he was the principle compliance consultant involved in setting up a Nigerian Sponsored Bank from application submission through to authorisation which included many of the peripheral negotiation and due diligence required in the provision of services to the bank including AML software and operational risk assessment as well as business continuity.
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