Gary has worked within the Regulatory and Compliance environment for 20 years having held managerial positions for the UK regulator and within the industry. He has experience working at the UK regulator in both Policy and Supervision roles and has therefore had exposure of both producing rules and guidance as well as reviewing how regulated firms are meeting such requirements.
Gary was Head of Technical and Policy Services within Marsh Ltd.’s Compliance Division and managed the firm’s preparation for FCA regulatory reviews on numerous occasions. He was responsible for conducting internal reviews of the organisation in areas such as Governance Effectiveness, Conflicts of Interest and Sales Processes and for producing Policies and Procedures to help the firm meet regulatory requirements. In his time as a Consultant, Gary has worked for numerous clients in a number of areas including:
- Preparation for FCA/PRA visits (e.g., Conduct Risk Reviews and Underwriting & Pricing Reviews).
- Assisting clients in preparing for the Insurance Distribution Directive (IDD) and the Senior Managers and Certification Regime (SMCR).
- Supporting Conduct Risk Teams with Product Governance requirements and production of Management Information
- Acting as Interim Head of Compliance.
- Production of Policies and Procedures
- Assisting firms with Applications (e.g., direct authorisation with the FCA and SMCR applications.)
Most recently, Gary has worked with Lloyd’s of London in helping to develop their KYC onboarding processes and in implementing such processes within the organisation. He has also been working with a Lloyd’s Underwriter in ensuring that the FCA’s Product Requirements are being met around Product Reviews and evidencing that products are offering fair value to customers.
