Stuart is a Director at Protiviti, within our Financial Services Industry (FSI) Regulatory practise in the U.K. He has more than 25 years of business experience working with a variety of Financial Services organisations to solve their biggest challenges in business risk, technology risk, business change and assurance in order to face their future with confidence.
Prior to joining Protiviti in March 2008, Stuart spent 18 years at KPMG the majority of which was in KPMG’s Regulatory Services practise.
Stuart has a broad range of regulatory experience covering areas such as conduct risk and risk culture, Compliance design and effectiveness and operational compliance (such as CASS, suitability, client order handling and conflicts of interest) as well as responding to regulatory change and managing the regulatory relationship.
Stuart leads services to clients in the market infrastructure and payments segments and is heavily involved in Protiviti’s BREXIT initiative focussing on a risk-based approach to identifying and managing the uncertainties that arise from potential BREXIT outcomes and their impact on achieving business strategy.
Representative Engagements Include:
- Has led a number of projects designing or enhancing the design and effectiveness of Compliance functions, covering elements such as role and scope of Compliance, risk identification and assessment, compliance monitoring programmes and compliance plans, skills and experience, reporting;
- Led engagements that supported clients’ projects to create and develop their conduct risk framework and identification and assessment of conduct risk;
- Skilled Person reporting and other forms of reporting providing assurance over topics such as: suitability, CASS, changes to alerts and warnings for pre-trade compliance systems, the effectiveness of Compliance;
- Provided senior management with advice around how to improve the regulatory relationship and to prepare for supervisory visits. This often includes identifying potential areas of regulatory interest and carrying out deep dives, reporting findings and creating enhancement plans and also mock interviews with key individuals in order to support their preparation for interview;
- Board effectiveness reviews.
BA Combined Studies (awarded by University of Liverpool)