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Category archives: Compliance and Risk

De-Risking your Hires in Financial Services

Deception and Detection – De-risking your hires in financial services

Having spent more than a decade networking, recruiting and operating across the financial services sector with some of the brightest minds in risk I remain staggered at how little risk management process goes into executive hiring.

We “Hire on Competencies - Fire on Behaviours”, that’s what ...

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Eliminate Hiring Risk

Eliminate Hiring Risk

I work with and represent some of the brightest thought leaders in the risk industry in the country.  However, I am often staggered at how little risk management they put into their own Executive hiring processes! 

The latest “Risk Outlook” published by the Financial Conduct Authority urges Boards to make sure that their staff behave ...

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Conduct Risk - is it all in the culture?

Are organisations today looking too much at the rule book and not enough at day to day behaviours and their working culture? The latest “Risk Outlook” published by the Financial Conduct Authority urges Boards to make sure that their sales staff behave well and care for long term customers, placing consumer interests at the heart ...

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Challengers the big threat? Don't bank on it !

Challengers the big threat? Don’t bank on it !

What I am hearing :-

If we believe the recent press, the FCA has around 29 applications for a banking license “in flight”. I suspect the real number of qualified applications is however somewhat lower! The big retail banks are spinning off clean start, banks, TSB, Williams ...

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How to keep it simple

How to keep it simple

As a profession are we in danger of over complicating compliance? We have a substantial (and growing!) regulatory regime to meet, however the spirit is all about acting in the customers best interests. Having provided numerous Compliance subject matter experts for both Interim and Permanent roles, the most successful engagements show some common traits that ...

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"I want to start a bank!"

It’s late March, the phone rings, a High Net Worth entrepreneur with the opening line:

“ I want to start a Bank, can you give me a CEO?”

This got me thinking! April, and the FCA have confirmed 29 firms have applied for authorisation to become banks. The red tape is being loosened, last summer ...

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Risk Rocks

Risk Rocks

Why working in Risk ROCKS

Bear with me here….

Having spent over 10 years working in financial services Interim management I have seen the growth in compliance and risk largely driven by an increasing regulatory environment.  Having recently joined EO to spearhead our Financial Services practice I choose to initially personally focus entirely on the ...

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A survey of over 32,000 banking customers by Ernst and Young has revealed a global increase in banking confidence since last year.  The study, ‘Winning through customer experience’ shows that confidence in the banking industry is once again on the rise with a third of customers world-wide now more confident in the industry compared ...

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The City regulators recently handed out a £30.5m fine, the largest retail fine handed down to date. The FCA investigation found some common themes, that I am sure we recognise in the press coverage across the sector:-

  • A pay structure that rewarded staff for the number of products sold, irrespective of whether the customer ...

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