Simon is the Managing Director of the Financial Services Regulatory Advisory practice within Konexo.
Simon has over 30 years' experience of advising and training financial services firms on regulatory matters. His specialisms are governance, culture, systems and controls and conduct areas.
Simon has significant experience of skilled person reports (s166 reports), both in the role of skilled person and advising clients on the process. Simon has also managed a significant number of senior managers and certification regime implementation and embedding projects as well as undertaking governance and conduct reviews.
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- Managing and delivering the outcomes required in respect of skilled persons projects covering culture, governance, conduct and risk management areas across sectors including financial planning and wealth managers, retail mortgage and insurance firms, banks, retail finance firms.
- Nominated skilled person for two significant reviews in the retail sector in relation to customer journey, effectiveness of the lines of defense, suitability and conflicts, senior manager responsibilities.
- Undertaking regulatory due diligence on behalf of acquisitive clients reviewing key regulatory risks
- Managing a number of governance reviews across a variety of industry sectors (both client-driven and regulator-influenced reviews)
- Acting as an FCA-appointed expert adviser on a governance and conduct enforcement action
- Reviewing controls and risk frameworks within regulated firms and providing guidance on weaknesses and improvements and recently in relation to the Consumer Duty
- Frequent board and senior management training sessions for clients and industry engagements on culture, governance and conduct matters
- Senior management preparation for regulatory interviews and interactions
- Review of complaints handling policy and procedures across product lines as well as sample reviews of customer complaint files. Activities included review of processes, decision making, client communications, staff training, root cause and trend analysis, and reporting.