Andrew has been a regulatory professional for over 17 years, with an in-depth knowledge of FCA, PRA and European regulation affecting numerous types of firm and a range of Retail and Wholesale products / Financial Instruments.
During his career, Andrew has also been an Approved Person and has held the FCA senior management / significant impact functions for 9 different regulated firms in the capacity of a Board Director, Compliance Oversight and (Anti-)Money Laundering Reporting Officer.
Andrew previously worked for one of the UK Big Four Accounting firms as a Regulatory Consultant and has successfully executed assignments for a range of clients. Projects include:
- leading and managing FCA Section 166 reviews, in the areas of Conduct Risk, Suitability/Appropriateness , Client Money and Governance;
- undertaking wider deep-dive thematic reviews in respect of a firm’s Systems & Controls (SYSC) responsibilities;
- providing ongoing outsourced compliance monitoring resource and undertaking reviews acting as the second line of defence in either a contract of secondment capacity;
- reviewing and designing target operation models for the compliance functions;
- providing regulatory advice and support in respect of AIFMD, Anti-Financial Crime, RDR, Dodd-Frank, FATCA, AIFMD, UCITS, UCIS and Basel III/CRD IV.