Andrew is dual qualified under the CII and CISI and is a strong generalist, having led FCA Skilled Person reviews (mainly across Financial Crime and Conduct of Business), Independent Reviews, Due Diligence projects, Advisory Projects and Internal Audits. He specialises in Anti-Financial Crime, Governance, Board Effectiveness, Conduct and relationships with regulators.
Andrew advises International Banks, Global Insurance Brokers, Listed Wealth Managers, Asset Managers, Fund Manager and Brokers, supporting them with a full range of needs, from FCA/PSD authorisations applications, to variations of their regulatory permission and providing ongoing compliance support services across the spectrum of regulatory matters. Andrew and his team have also been integral to rehabilitate regulatory relationships where clients have encountered contentious issues with regulatory supervision teams.
Other work has included Control Framework design/review, Skilled Person work, regulatory change, policy updates, horizon scanning, financial promotions, Healthchecks and reviews of customer onboarding processes. He has also supported his clients with the adoption of new regulations in the areas of Market Abuse, the Fourth, Fifth and Sixth Money Laundering Directives, the Senior Manager's & Certification Regime, Anti-Bribery & Corruption investigations, Expert Witness work, Product Interventions changes (and Price-walking), Brexit, the Investment Firm's Prudential Regime, changes to the Appointed Representatives regime and the Consumer Duty.
Whilst at DWF he has also furthered his work for clients in non FS sectors and in multiple jurisdictions, considering both home and host-state regulatory compliance.
He has led on thought leadership pieces on the subjects of the Cost of Financial Crime to businesses and worked alongside a number of Associations, including the APCC, AFB, CISI and FLA.
Testimonials from Andrew's clients can be found on the Regulatory Consulting Web pages.
- Chartered Insurance Institute
- Chartered Securities Institute