Compliance Leader

As a senior compliance leader, I have held critical Compliance roles at a global financial institution, including Deputy Group CCO, represented the Compliance function at Board level, driven regulatory strategy and engagement, and led significant regulatory enhancement programs.

I can support clients in the following ways:

ASSESS AND ADVISE ON RISK...

covering key compliance and regulatory risk topics across Investment Banking, Wealth Management and Asset Management businesses at C suite and executive board level.

LEAD OR SUPPORT GLOBAL COMPLIANCE TEAMS...

to enhance governance and operating effectiveness.

DESIGN AND OPERATE COMPLIANCE PROGRAMS...

setting control standards for enterprise risks owned by the Compliance function, enhancing Compliance practices and improving the quality of compliance metrics and reporting.

LEAD GLOBAL REMEDIATION AND ENHANCEMENT PROJECTS...

following poor audit or enforcement outcomes, under significant regulatory scrutiny, with challenging deadlines (including by way of example conflicts of interest, cross border, anti-fraud, investor protection.

SET AND DELIVER REGULATORY STRATEGY...

leading regulatory and audit engagement to build trust with critical stakeholders.

Embed compliance programs...

into front office business systems to mitigate operational risk and drive efficiency reducing the cost of compliance.

ENHANCE COMPLIANCE RISK ASSESSMENT...

as part of a global non-financial risk framework, with a clear forward-looking view.

DRIVE CULTURAL CHANGE PROGRAMS...

to improve risk and compliance culture, including speaking up and psychological safety, incorporating behavioural science thinking.

Book an introductory call

Book an introductory call to find out more about how I can support your organisation.

Julian is a PLEASURE TO WORK WITH

Julian is a pleasure to work with. He has a deep working knowledge of regulatory regimes and requirements. Julian is a very articulate, polished presenter at board level with an enthusiasm for his subject that is rare.

Clare Brady, Board Member | Credit Suisse AG