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Simon Collins, Managing Director

Simon Collins

Managing Director

Practice areas

  • Consulting
  • Financial services and markets regulation

Practice notes

 

Simon is Managing Director of the FS Regulatory Compliance Practice within Consulting.

Over the past 25 years he has been advising financial services firms on regulatory matters specialising particularly with culture, governance, systems and controls and conduct areas. Simon has experience of assisting firms with compliance and regulatory projects such as Senior Managers and Certification regime, Skilled Person, past business and remediation reviews. Simon is on the Financial Conduct Authority and Prudential Regulation Authority's skilled person panel for governance.

Simon focusses on providing clients with practical compliance advice on a variety of issues which can impact our clients immediately or in the future. Simon and the rest of the team partner with our legal teams to deliver robust, pragmatic and achievable solutions.

Experience:

 

  • Managed numerous Senior Manager and Certification Regime projects as well as governance reviews.
  • Managing and delivery of the outcomes required in respect of Skilled Persons Projects.
  • Managing a number of past business reviews across a variety of industry sectors (both client driven reviews and Regulator instigated reviews).
  • Liaison with the FCA in respect of critical client's issues and appointed as expert adviser to the FCA on a specific enforcement case.
  • Provision of strategic compliance and delivery of practical implementation advice in relation to regulatory changes as well as providing a sounding board for Boards in relation to business alignment to regulatory imperatives.
  • Provision of training and coaching to compliance & operational staff as well as senior management.
  • Conducting due diligence activities on behalf of firms wishing to invest in Financial Services firms.
  • Managed engagement with firms as they undertook a major complaints remediation programmes.