REGTECH WEBINAR – Disrupting the status quo of compliance

The emergence of RegTech has been long considered to have the potential to disrupt the status quo of compliance within the wealth management industry.  The backdrop of Covid-19 has seen the way firms operate fundamentally change with remote working increasing the need for off-site and automated compliance solutions.  As a result, there has been a sharper spotlight cast on the RegTech sector suggesting a pivotal moment in its development.  This is now prime opportunity for the sector to answer questions on its maturity and ability to serve the needs of wealth management firms effectively.  

Our webinar aims to look more closer at this opportunity and highlight the strategic role RegTech can play in the following areas:

In addition to the webinar, we will be hosting showcase sessions for RegTech providers to discuss and demonstrate their innovative solutions for the UK wealth management industry.

Event Information

16:00 – 16:05           James Brown, Compeer – “Welcome & Introduction”

16:05 – 16:15           Jason Raikes, Parkwell

16:15 – 16:25           Tom Thwaites, Compeer

16:25 – 16:35           Sean Lam, Walker Crips, Objectway’s guest speaker

16:35 – 17:05           Panel Discussion

James Brown (Compeer), Paul Martin (LGT Vestra), Steve Jones (Charles Stanley), Mark Spiers (PwC)

James Brown, Head of Client Services – Compeer

James joined Compeer in October 2006 as an analyst following his graduation from The University of Warwick, where he studied Mathematics, Operational Research, Statistics and Economics.  Today he manages Compeer’s team of analysts. He has widely presented key trends in the UK Wealth Management Industry, with in-depth experience of providing statistical analysis of firms’ business performance. He regularly provides recommendations during presentations to Executive boards, and is actively involved in bespoke research projects.

Jason Raikes, Senior Consultant, Parkwell Management Consultants

Jason is a senior consultant with 25 years’ experience of the financial services industry.  Jason has detailed knowledge of business process re-engineering and the appropriate use of technology to improve front office productivity.  Jason’s areas of expertise also include project management, regulatory projects and management information.  Jason is a Chartered Accountant having trained with one of the big four firms.

Tom Thwaites, Research Analyst – Compeer

Tom joined Compeer in January 2019 having graduated from the University of Leicester with a BSc in Financial Economics. During his time at university Tom attended Katholieke Universiteit Leuven in Belgium as part of the Erasmus program where he furthered his studies into economics, finance, business management and econometrics. He also gained work experience in Beijing on a summer internship for a Chinese consulting firm which specialises on the Belt and Road initiative.

Now, as a member of the Compeer analyst team Tom works on a variety of bespoke research projects looking into different aspects of the Wealth Management industry, presenting the findings at Compeer conferences as well as supporting the team with the annual industry report and benchmarking services.

Sean Lam, Group Chief Executive Officer – Walker Crips

Mr. Sean Lam is a passionate technologist and innovator, and has made it his quest to ‘engineer out complexities’. He was appointed Group Chief Executive Officer in September 2017.

His tenure with Walker Crips began as Development Director in 1999 with overall responsibility for systems development and technology, Chief Operating Officer and Chief Technology Officer in 2004, and Group Managing Director in 2007. He commenced his career with Phillip Securities in Singapore in 1992, and was the Head of Internal Audit, and then Head of Operations in 1995.

Sean graduated in 1991 with a Bachelor of Commerce from the University of Western Australia majoring in accounting and finance, and attained his professional qualification as a CPA in 1995. Sean is a Fellow of CPA Australia, was a member of its European Council from 2010 to 2015, and President of its European Region in 2012 and again in 2013. He is a Chartered Fellow of the Chartered Institute for Securities & Investment.

Sean is also founder and CEO of EnOC Technologies, Walker Crips’ new fintech SaaS company.

Steve Jones – Group Head of Compliance & MLRO, Charles Stanley

Steve has been Group Head of Compliance & MLRO at Charles Stanley since July 2016, as well as a member of the Executive Committee.

Prior to this role , Steve was Head of Compliance at Julius Baer International, and in that role supported the integration of the non-US Merrill Lynch Wealth Management business purchased in 2012. Whilst at Merrill Lynch, Steve had a variety of Compliance roles, ultimately being promoted to Head of EMEA Compliance for the Wealth Management division. He has previously worked in institutional Compliance roles at BlackRock, Barclays Global Investors and Merrill Lynch Investment Managers. Steve has an LLB in Law and a Master’s degree in International Political Economy.

Mark Spiers, Director, Wealth Management and Private Banking Advisory – PwC UK

Mark is a Director at PwC focussing on the wealth management and private banking markets. He works with wealth management and private banking firms to help them manage non-financial risks and develop products, services and infrastructure that build value, is client centric and meets regulatory expectations.

Mark has over 23 years of financial services experience, from helping startup digital banks and wealth managers to carrying out S166 work in global financial institutions. Before moving to consulting, Mark was Head of Compliance at Kleinwort Benson and Head of Compliance, Operational Risk and Legal at Emirates NBD, London Branch. Mark has worked in financial services in UK, Switzerland, US, UAE, Caribbean, Hong Kong and Singapore.

Paul Martin, Head of Legal, Compliance and Risk – LGT Vestra

Paul has over 30 years’ investment management experience and joined LGT Vestra as head of legal, compliance and risk from Quilter Cheviot where he was head of risk and compliance. Paul is a member of the WMA Regulatory Committee.

Research Partner


Other upcoming events

Webinar: Building diversity in the wealth industry

Thursday 9th December 2021
16:00 - 17:00

All wealth management firms now consider diversity & inclusion (D&I) as a core part of their people strategy and in turn are thinking about how it applies to their overall recruitment & retention strategy. However, the industry needs to accelerate the pace at which they respond to the country’s diversity and this will become increasingly important as firms consider their future client base.

Individuals, particularly Millennials, want to work in an environment that promotes D&I and clients will expect to deal with more diverse wealth managers in the future. The industry cannot risk being left behind.

Compliance 2022 – The future of UK regulation

Thursday 3rd March 2022
11:00 - 12:00

For many years now, regulation has been the main concern of the UK wealth industry, causing multiple headaches across the sector and one of the key reasons behind surging costs among these firms.

In this webinar, Compeer will review the potential upcoming regulations that firms will face, and research the views of Heads of Compliance to understand where the concerns lie and how prepared firms are for future regulations.

ESG – What next for wealth managers?

Wednesday 9th March 2022
13:00 - 14:00

Following on from our ESG themed webinars earlier in 2021, Parkwell will be hosting another ESG webinar where we will we take stock of the progress within the wealth management industry, discuss new issues and regulations that have emerged over the year and identify the opportunities and trends we think will be prominent during 2022. Once again we will joined by a panel of leading industry experts who will share their insights and debate the challenges ahead.