Legal, regulatory and compliance expertise for the financial services industry

Independent consultant supporting businesses on matters where a successful outcome is critical.

The impact of getting it wrong

When financial services firms fail properly to address critical risk situations, this can lead to severe reputational damage, with long-term negative impact to individuals and to the franchise. A firm’s governance and culture are examined in the press and the court of social media. Repeated failures erode trust and confidence in the firm and its senior leaders.

The ability to deploy seasoned individuals with experience of crisis situations and with expertise to deliver strategic and considered advice is critical to the way a firm resolves these potentially damaging situation

 

With unique legal, regulatory and compliance expertise drawn from a long career in UK, Asia and Switzerland, I can support on matters where a successful outcome is critical to business, regulatory and audit stakeholders, and to the wider franchise.

Who I am

I am an experienced regulatory lawyer and compliance professional working in the financial services industry.

With a long career as a managing director at a global financial services institution, I held senior general counsel and compliance roles in Asia, Switzerland and UK, advising global management at executive and supervisory board levels.

As a senior leader, I have consistently demonstrated the necessary judgment and gravitas to deliver strategic advice on matters of legal, compliance, regulatory and reputational risk to the franchise.

I build confidence through succinct and effective communication with delivery against critical milestones. I lead teams through change by setting a clear vision and strategy. As a leader I believe in role-modelling the values that stakeholders expect to see throughout the franchise.

How I can support you

As an independent consultant I can offer support on all legal, regulatory and compliance matters where a successful result is critical to business, regulatory and audit stakeholders, and to the wider franchise.

I can engage on an advisory basis or will consider short or medium-term internal engagements to suit the outcome and timeframe required by the client.

For more detail on the services I can offer as a general counsel, compliance professional or chief operating officer – see below

General Counsel

Compliance Leader

Legal & compliance operations

A thoughtful and determined lawyer

I have known Julian to be a thoughtful and determined lawyer who seeks the best outcomes for his clients, giving pragmatic and considered advice. He brings his perspective as a regulatory litigator to matters of legal, compliance and reputational risk where good judgment and a cool head are in demand.

Pierre Gentin | former Managing Director and Global Head of Litigation, Regulatory Enforcement and Employment Law, Credit Suisse

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