Optimising Compliance in Uncertain Times

The challenges facing the compliance function continue to multiply, ranging from increasing cost, Brexit and Suitability to MiFID II.

We have seen a number of firms exit wealth management, citing the cost of regulation as a reason.

The conference will focus on the major issues facing the compliance function and how firms may optimise compliance to meet these challenges. We will explore how the best in class firms tackle these problems and what we can learn from them.

Event Information

08:00 – 09:00    Registration and Breakfast

09:00 – 09:05    Welcome: Master of Ceremonies (Julia Kirkland, FSTP)

09:05 – 09:45    Rob Taylor, FCA – Continued Focus on Global Professionalism

09:45 – 10:05    Ian Cornwall, WMA An Update on Key Compliance Issues Affecting Our Members

10:05 – 10:20     Daryl Roxburgh, BITA Risk – The Relevance of Independent Indices

10:20 – 10:50     Networking Break

10:50 – 11:05     Nikolai Lysiuk, Compeer – Research results

11:05 – 11:25     Amir Hakim, JHC – Response to research results

11:25 – 11:45     Stuart Macdonald, Seric Systems The implications of GDPR

11:45 – 12:30     CEO Panel Discussion with Q&A

(Steven Sussman – JM Finn, Ian Henderson – Arbuthnot Latham, John Morton – European Wealth, Marcus Johnson – NW Brown)

12:30 – 12:35     Summary: Master of Ceremonies (Julia Kirkland, FSTP)

Julia Kirkland – Senior Partner, FSTP (Master of Ceremonies)

Julia Kirkland is the Senior Partner of FSTP LLP, a boutique Training and Consultancy firm helping firms across financial services with regulatory and organisational change in response to regulatory change. Her career involved senior roles in Schroders, Robert Fleming and LGT before she joined Invesco Perpetual where she helped lead the implementation of complex changes to the client and fund proposition.

A Chartered Member of the CISI she works predominantly with Wealth Management firms providing help to resolve real difficulties between their preferred style of operation and what the regulator requires. She always seeks to reconcile what regulation requires with best practice and the particular culture and strategy of her clients.

Rob Taylor – Head of Global Asset Management Strategy, FCA

Having joined the FCA in 2014 and previously led the Investment Management Department at the Financial Conduct Authority, Rob Taylor’s current role focuses on the global debate on regulation affecting the asset management industry. He has also worked in venture capital and is former chief executive of Kleinwort Benson Bank, the London-based merchant and private-client banking group. He is currently Chair of the University for Creative Arts in Kent and Surrey, Chair of the Whitechapel Gallery and a non-executive director of Trumans Brewery and of the East London NHS Foundation Trust.

He began his career working in American politics and as a financial journalist in New York. He is a public speaker at financial services conferences and is an outspoken supporter of LGBT career opportunities in the City as well.

Ian Cornwall – Director of Regulation, WMA

Ian has almost 30 years’ experience as a risk and compliance professional.   He started his regulatory career in 1986 with the Surveillance Division of the London Stock Exchange which evolved into The Securities Association, which regulated stockbrokers, where he was a senior manager. He spent many years as a main board members and Compliance Director of one of the largest private client investment managers and stockbrokers in the UK.

Ian is Director of Regulation at the Wealth Management Association (“WMA”). His role entails constant contact with the UK regulator, the FCA at all levels and other organisations such as HM Treasury, Financial Ombudsman Service and the Financial Services Compensation Scheme. He is involved all areas of policy development and provides regulatory support to WMA’s member firms.

Ian is a Chartered Accountant and Chartered Wealth Manager. He is a member of the examination panel for the Applied Wealth Management paper which is a constituent of the CISI Masters in Wealth Management and sits on the Committee overseeing CISI’s role as an Accredited Body. In 2009 he was voted by his peers Compliance Personality of the Year! He speaks regularly on a range of regulatory topics.

Daryl Roxburgh – Global Head, BITA RISK

Daryl Roxburgh, Global Head, BITA Risk, spent the first part of his career at leading private client and institutional investment managers. Starting as a private client fund manager at Buckmaster & Moore, he progressed to General Manager, private clients and ultimately IT Director for what had become Credit Suisse Asset Management. Daryl then consulted for M&G before moving to Prudential Portfolio Managers as Director, Global Head of IT.

Daryl has run BITA Risk since 2004, leading the design of its award winning private client suitability and risk management applications. A founding director of London Quant Group and contributor to a number investment books, he has joined the WMA FTSE Private Client Indices Committee in 2015.

Nikolai Lysiuk – Senior Research Analyst, Compeer

Nik joined Compeer in January 2013. He graduated university in 2007 with a BA in Financial Economics. Since then Nik has gained experience in many aspects of the financial markets, covering equity, syndicated loans and corporate bonds as an analyst at both Bloomberg and Moody’s. He is the lead analyst on Compeer’s ongoing compliance and IT research projects.

Amir Hakim – Head of Wealth Solutions, JHC

Amir has been working at the heart of the global financial services industry for more than twenty years, his expertise spans both buy and sell-side segments across the global wealth management eco-system. Amir’s pedigree and understanding of wealth trends and challenges in a highly regulated financial world is apparent, with time spent supporting and leading strategic projects and innovation with BNP Paribas Securities Services, BNY Mellon Pershing and Societe Generale Securities Services.

Since joining JHC in 2015 as head of wealth solutions , Amir has been focused on building a tech-hub that embraces new innovation ideas and concepts, collaborating with market participants and partners to prototype, test and build future-proofed technologies that enable todays clients, and the clent of the future to take change in their stride, to see beyond the boundaries of the past and to grow their businesses—without constraint.

Amir is a founding member of JHC’s compliance supper club.

Stuart Macdonald – Managing Director, Seric

Stuart Macdonald is the founder and Managing Director of Seric, an Information Security & Data Management Business.

He advises organisations and presents regularly on the real world implications of security technology and policy. He has commented in various national newspapers and presented internationally on Security, notably last year he was the keynote speaker at Useable Security (USEC) Europe. He was the highly commended Runner Up in the IoD’s Young Director of the Year in 2012, is an Angel Investor and NED, and Trustee for a number of charitable organisations. Stuart is the Scottish Chair of the Financial Services Club in Scotland.

Marcus Johnson – CEO, NW Brown

Prior to joining NW Brown, Marcus was at Meridian Performance Services, a London based consultancy practice. Before that he was Managing Director of Credit Agricole Asset Management (UK) Ltd. Marcus has spent over 30 years in the investment industry and has been an underwriting member of Lloyd’s for more than 20 years. His first five years in the city were spent at Hoare Govett where he was responsible for Gilt Edge research.

Marcus is actively engaged in several early stage equity investments including Life’s Kitchen, a company which caters in Livery Halls in the City of London, and Regenerys, a company providing skin and tissue for use in medical procedures. He has interests in Estonia, Latvia and Lithuania in the forestry industry and writes regular articles in the Cambridge Business Magazine. On the educational side Marcus provides regular seminars on the functioning of the Lloyd’s market to investment managers and chairs the Qualifications Assessment Board for the Chartered Institute for Securities and Investments Masters level exam system.

Ian Henderson – CEO, Arbuthnot Latham

Ian Henderson joined the Board of Directors in April 2016, as Chief Executive of Arbuthnot Latham.  Ian joined from Secure Trust Bank PLC where he held the position of Head of Strategic Business Development and Chief Executive Officer of Personal Lending and Mortgages.  Previously he was Chief Executive Officer of Kensington Group Ltd and prior to this CEO of Shawbrook Bank; Ian has held senior executive roles in Barclays and RBS.

John Morton – CEO, European Wealth

John is the Chief Executive Officer of European Wealth.  He has over 32 years’ experience of managing institutional and private client investments, and the management and acquisition of wealth management businesses.  John was previously the Chief Executive of Syndicate Asset Management, having previously been the Chief Executive of Ashcourt which was initially the fund management arm of the solicitors firms Brachers and Wilsons.  During this time he undertook 17 acquisitions and five share placings to build a group that managed assets in excess of £5.9 billion with over 310 employees.  Before this, John had been the Investment Director of Brachers Solicitors, during which time funds under management grew from £10 million to in excess of £70 million.  Prior to this he was a director of, and  the European and Global Fund Manager for, Abtrust Fund Managers, as well as a director of the Abtrust New European Investment Trust.  In addition to his position with European Wealth, John is also a director of the charities Epsom Racing Staff Welfare and the National Youth Music Theatre.

Steven Sussman – CEO, JM Finn

Steven joined JM Finn & Co as Managing Partner in 1997.  He became Managing Director in 2006 and Chief Executive Officer in January 2015. Prior to JM Finn & Co, Steven spent 12 years at Granville Plc where he held the position of Group Finance Director.

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