Lee: Financial Services Professional with 20+ Years Cross-Functional Experience

Lee is a Financial Services Professional with over 20 years of cross-functional experience. His breadth of expertise covers Retail Investments, Wealth Management and Life & Pensions, alongside a robust grounding in Operational Risk and Risk Reporting. He is, in addition, a fellow of the Institute of Leadership and Management.

Having joined the Royal Navy for a short period, Lee entered the financial services market as a salesman and quickly rose to Unit Manager, becoming an IFA in 1995. In 2000 he switched to Compliance Consultancy, starting his own limited company. In his varied career, Lee has:

Worked with The Access Bank UK Limited, handling their TCF Gap Analysis and recommendations.
Installed, agreed and implemented The Access Bank UK’s Risk & Compliance Monitoring plan, including schedule and planning resource allocation.
Assisted the executive management staff at The Access Bank UK in achieving FSA authorisation.
Advised Zurich Banking Unit, recommending where Operational Risk and Business Continuity may be impacted and oversaw Operational Risk integration with business operations by promoting best practice.
At Zurich Banking Unit, co-ordinated and implemented the banking ICF from process definition and recording to acceptance by group OR.
Identified areas of incongruence on behalf of Barclays Bank Plc with success, resulting in changes to sales practice.
Successfully reviewed and implemented changes to POS documentation, reducing content by 70% for Barclays Bank Plc.
Reviewed and implemented the new quality assurance scoring system for Barclays Bank Plc’s direct sales force.
Worked on an interim basis with a host of recognised financial services firms, handling the project management of complaints systems, regulatory affairs and policy interpretation and overseeing new business suitability and acceptance checking, amongst other duties.