Get in Touch
T: +44 20 3695 9251
E: info@grtconsult.com
71-75 Shelton Street Covent Garden, London, WC2H 9JQ
Get in Touch
T: +44 20 3695 9251
E: info@grtconsult.com
71-75 Shelton Street Covent Garden, London, WC2H 9JQ
Charles is an experienced Compliance, Regulatory Risk and Change practitioner with over 25 years experience in the City having held many senior positions within Compliance at large UK and European Tier 1 retail and investment banks. Since 2014, he has moved into regulatory risk implementation and advisory, using his extensive knowledge at a number of global organisations covering SM&CR, GDPR, MiFID II and Conduct Risk. His unique skill-sets have allowed Charles to develop as a trusted advisor across both the first and second line of defence functions.
His most recent assignment at a major stockbroker was supporting an SM&CR implementation project with a focus on the governance, accountability and cultural measures to ensure compliance with the “no gap” principle. This overview has helped to define a methodology and process for assigning the correct responsibilities for the respective Senior Managers and Certified staff. Prior to this he was responsible for implementation of GDPR and MiFID II at the stockbroker and documentation of the entire Conduct Risk assessment and framework at a large European investment bank.
SM&CR – Reviewed/prepared policies, procedures, employment contracts, prepared methodology and process for identifying senior managers and certification staff. Other areas of focus included recruitment process including regulatory references and criminal records, changes to employment contracts, recoding keeping and training requirements.
GDPR – responsible for providing guidance on improving frameworks including Terms of References, submitting proposals for the creation of a new function to manage data protection.
MiFID II – full responsibility for compliance advice on multiple workstreams e.g. conflicts of interest, compliance function, risk function and complaints. Delivered changes to policies and procedures.
Traceability and business analysis: responsible for leading workshops to understand current state, undertaking gap assessments, preparing Business Requirements Specifications and assisting the business to review and approve changes to policies, procedures, systems and controls.
Led Trade Surveillance and Assurance teams for a number of banks spanning 8 years with responsibility for executing compliance control reviews. This included interactions with the FCA as part of a review of market abuse across multiple product lines.
Compliance Risk Frameworks – managed the implementation of several projects involving risk frameworks and charting the requirements for third party vendor solutions.
Gained knowledge of products offered by leading GRC vendors such as Metric stream, Thompson Reuters, Bwise etc. This included defining requirements and assessing appropriateness of vendor solutions.
