Maurice provides regulatory advice to wealth managers and banks and has over 25 years’ experience in financial services. His current focus is supporting firms with the delivery of SM&CR, having already supported with MiFID II.
Maurice has also led a number of conduct of business reviews (several were supporting FCA enforcement action under a s166). This has provided him with a detailed understanding of the FCA approach and how to effectively manage regulatory interactions. The work he has performed encompasses the complete regulatory life cycle (product design through to sale and beyond), the design and implementation of conduct risk and compliance frameworks and the performance of risk assessments.
Most recently Maurice was a Senior Manager in the Wealth Management and Retail Banking team at Ernst & Young LLP. He was employed there for 7 years and provided advice to firms in respect of Conduct Risk, Mortgages and also includes supporting banks following the implementation of the Senior Manager and Certification Regime (SMCR) and in preparation for ‘Ring Fencing’.
Prior to working in consultancy Maurice worked for Barclays Wealth, where he was a Procedures and Process Improvement Manager for 3 years. Maurice has also held roles with United Assurance (now Royal London), Legal and General and NatWest Bank.