OUR FIRM
The Regulatory Compliance Specialists, part of The Specialists Group, provides practical regulatory compliance advice and support to investment firms and energy trading firms. We are also able to provide financial crime risk management expertise and support you in managing market conduct risk including the implementation and maintenance of transaction surveillance systems.
THE
TEAM
Iain McGowan - Managing Director
Iain has over 30 years' experience in the world's fixed income, equities and energy markets with leadership roles in Ethics & Compliance, Internal Audit, Financial Crime Risk Management, Business Risk Management and Controls Assurance.
iain@theregulatorycompliancespecialists.com
+44 (0) 7973 231 624
MARKET CONDUCT & INVESTIGATIONS
Often, when all is said and done, it's about whether the firm exhibits appropriate conduct that delivers good outcomes for markets and the users of those markets. When there is a suspicion of poor conduct or poor market outcomes, the firm can find itself having to respond to extensive requests for information (RFI), in short timescales, or some more other intrusive form of supervisory intervention. We have practical experience of being able to respond efficiently and effectively to RFIs and providing proactive support during more intrusive investigations. On a more pre-emptive basis, we have developed bespoke one-off, and recurring, training and education centred around scenario-based case studies that allow for serious and informed debate rather than just ticking the box in a generic web-based training module.
TRANSACTION SURVEILLANCE
We have extensive experience of defining business requirements, including in-house builds, vendor selection processes, scoping proofs of concept and project implementation. Equally as importantly once implemented, supporting the business as usual programme through ongoing calibration, effectiveness reviews, tailored use of business analytics and the implementation of appropriate governance processes that will help engender regulatory confidence in the transaction surveillance programme.
FINANCIAL CRIME RISK MANAGEMENT
From assessing the effectiveness of your counterparty due diligence programme to providing practical advisory support to your financial crime team or Money Laundering Reporting Officer, we have experience of performing financial crime roles in areas considered to be of high regulatory compliance risk as well as in large sophisticated corporate environments. We can draw on years of experience to help ensure that the systems and processes you put in place to mitigate your financial crime risk are effective and proportionate while engendering regulatory confidence.
