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
A Compliance Practitioner with over 20 years’ experience advising, leading and working on regulatory initiatives at Tier 1 UK and European Financial Institutions.
Gary has extensive management experience acting as CF16 and CF17 across a broad range of investment products and services, with an excellent understanding of Supervisory Authority expectations, Section 166 reviews and thinking strategically about KYC and AML. He has strong communications skills with a record of developing excellent stakeholder relationships across different levels of seniority.
Head of Compliance and MLRO at new Challenger Bank.
Supported Challenger Bank in new successful application for PRA/FCA approval and exit from mobilisation.
Led a Section 166 examination to validate Governance and Risk to FCA satisfaction.
Managed a successful FCA AML 2018 review visit with no significant issues noted.
Developed and updated AML policies and procedures to comply with new AML Regulations.
Built and trained a Transaction Monitoring team deployed in Bahrain.
Completed detailed EDD for a global business line, including on-site visits in 5 GCC countries.
Provided AML SME advice and guidance to lawyers and liquidators in an international court case.
Managed the Desktop Review process during the assurance evaluation of the roll-out of AML and Sanctions Policies at Tier 1 Global Bank.
Reviewed and revised AML framework at UK branch of a foreign bank. This included EDD, of high risk customers, review of client on boarding and suspicious transaction reporting procedures.
Provided AML SME advice to a Jersey Law Firm in an Offshore regulatory investigation. This included PEPs and potential links to terrorism.
Guided preparation of working papers with data collected from 62 countries, up to four business lines in each country, and nine in-country deep dive exercises.
Introduced the “Tableau infographics” system to assist with analysis of incoming data and led a small team to process the data coming in from the various work streams.
Conducted a review and reported exceptions resulting in recommendations that led to significant improvements in data quality.
Utilised “Relativity”, which was an e-discovery tool, to review approximately six million e-mail messages and any associated files to identify documents as part of a regulatory investigation.
