David has worked as Head of Financial Crime Prevention for both national and multinational firms as well as in broader compliance roles. He has recent experience working as a subject matter expert in both post fine and post s166 environments taking on compliance, risk and business process redesign roles.
David’s primary specialism is financial crime prevention, where he works both as an author, trainer and subject matter expert, including for international accreditation bodies.
David is experienced in working with Investment Banks, Asset Managers, Insurers, IFAs and Insurance Brokers in both retail and wholesale environments, dealing at all levels including with board executives and audit committees. His wider experience includes managing relations with the FCA, HM Treasury, NCA, HMRC, and the ICO, as well as advising on Governance Risk, Conduct Risk, TCF, Financial Crime, Regulatory Permissions and Authorisation, Regulatory Risk and Multinational Distribution Risks. David has worked both as an outside consultant as well as taking interim position in firms when required. He is experienced in working as a controlled function or nominated officer.
David offers the advantage of a commercial perspective on compliance issues having worked since 1987 in the Lloyds and London insurance markets, spending 15 years of his career in commercial roles before specialising in compliance.