FCA Compliance Consultant

Georgina robbins associates limited Learn Morecontact us

FCA Compliance Consultant

Georgina robbins associates limited Learn Morecontact us

The Company

Georgina Robbins Associates Limited is a Financial Conduct Authority (“FCA”) regulation and compliance consultancy firm founded by Georgina Robbins in 2005 and based in London UK.

The Company work focus is to provide tailored regulatory risk management solutions to the financial services industry specialising in investment banking, private equity, asset management and capital markets businesses.

All consultancy services are provided by Georgina Robbins. Georgina Robbins is differentiated by a proactive, expert, practical and hands on approach and a keen understanding of the elements important to business and compliance practitioners. This is supported by robust research, strong regulatory and business knowledge, effective communication skills, providing intelligent challenge and working creatively with the client to produce pragmatic and constructive answers for the firm.

A testimony to the value proposition is that many clients choose to award repeat business.

Georgina Robbins 

CertIOD

 

 

 

Georgina Robbins is a regulatory and compliance expert with over 35 years’ experience working with financial services firms and business and regulatory change programmes, both as an in-house senior compliance officer registered in the FCA Compliance Officer and MLRO Functions, and as an independent compliance consultant.

Georgina’s technical knowledge, regulatory expertise and ability to contribute independent thought constructively, spring from working in-house in senior compliance roles for the London Stock Exchange, Goldman Sachs, ABN Amro, Prudential Bache and Lazard and 15
years working as an independent compliance consultant.

Key areas of regulatory expertise include compliance governance and risk framework; senior management responsibilities and accountability; regulatory applications and preparation for regulatory visits; conduct of business rules, conflicts of interest; market abuse; anti-money laundering; anti-bribery and corruption; conduct risks and integrity standards.

The Services

Georgina Robbins is available to work flexibly from her own office and/or be based in the client’s office, according to the needs of the assignment

 

 

Compliance consultancy / advisory on a fixed project or deliverable

 

 

In-house interim resource to deliver on key compliance initiatives or work as part of the team e.g. during periods of significant business growth, transactions or pending recruitment

 

 

Interim FCA Compliance Officer and MLRO Functions

 

 

Expert witness and report services

 

Business Drivers

Assignments typically involve supporting the existing Compliance Officer and/or MLRO with projects and assignments that relate to regulatory or business change, or regulatory oversight and supervision:

 

  • Regulatory change – impact assessment and implementation of new regulations, technical standards and industry guidance e.g. Market Abuse, MiFID II, SMCR or Money Laundering regulations
  • Business change – due to organic growth, acquisition of new teams or businesses, expanding into new types of investment products or business models, Brexit planning, downsizing, transfers of business to / from other jurisdictions
  • Regulatory oversight and supervision – independent health checks and compliance reviews, preparation for FCA supervisory inspections or thematic reviews, remedial projects

Examples 

  • FCA Regulatory application for permission to support the build out of an existing business unit and internal corporate reorganisation
  • Impact assessment and advice on enhancements to existing compliance framework, including information barriers and market abuse systems and controls, to support the acquisition of a new business
  • Targeted compliance risk and control framework reviews and recommendations e.g. conflicts of interest, market abuse and anti-bribery
  • Strategic advice and input to annual Compliance reviews, planning and recommendations to senior management

Independent Expert Report and Witness services

  • Report subjects included FCA conduct of business rules and industry practices relating to client categorisation, client onboarding, client agreements, investment advice and suitability
  • Claims concerned mis-selling of futures and CFDs, OTC structured derivatives and interest rate swaps

Contact Us

+44 (0)208 504 6300

 +44 (0)7900137195

georgina@georginarobbinsassociates.com

Georgina Robbins Associates Limited
Registered in England & Wales No 0534812
Registered Address: Construction House, Runwell Road, Wickford, Essex SS11 7HQ United Kingdom.
VAT Registration No 858342793

Contact Us

+44 (0)208 504 6300

 +44 (0)7900137195

georgina@georginarobbinsassociates.com

Georgina Robbins Associates Limited
Registered in England & Wales No 0534812
Registered Address: Construction House, Runwell Road, Wickford, Essex SS11 7HQ United Kingdom.
VAT Registration No 858342793