Mike is a member of the Regulatory Services team at MDR Mayfair and assists financial services businesses and family offices to meet their regulatory and compliance obligations.
With 30 years compliance experience and the approval of Regulators as a “Senior Manager”, he has implemented global regulatory projects including conduct risk standards, cross border requirements and regulatory reporting. He has managed regulatory remediation projects as well as visits, inspections and requests from financial service regulators.
Mike is an expert in the field of compliance assurance having reviewed banking and wealth management businesses. These reviews have included: corporate governance; financial crime; conflicts of interest; market conduct; suitability; treatment of customers; transaction reporting; advertising, marketing and cross border activities.
Key Previous Roles
- HSBC Private Bank – Global Head of Compliance
- RBS Wealth Management including Coutts & Co – Global Head of Compliance
- JP Morgan Wealth Management – Regional Head of Compliance EMEA
