Risk and Compliance professional with over 25 years’ experience of successful delivery of solutions to manage regulatory risks across general insurance, consumer credit, retail banking, payment services and funeral plan sectors. Nikesh has previously work at FSA, Financial Ombudsman Service, Barclays, Lloyds Bank, British Gas, Marsh and EY.
- authorisation and other regulatory applications: successful assisted and advised a range of client across various financial services sector on applications to the FCA for authorisation, changes to permissions, cancellation of permissions, approved persons and change in control.
- governance and senior manager regime: has expertise in governance and SMCR matters related to financial services firms. He has undertaken advisory engagement for a wide of clients on these topics including advice on structuring of governance arrangements, undertaking reviews of governance and SMCR arrangements, provision of training to senior managers and preparation of senior managers for interviews with both the PRA and the FCA
- compliance advisory/conduct risk: has advise a broad range of clients on the management of financial services regulatory issues and how it impacts their businesses and ways of managing those risks effectively in a commercial and sustainable way
- due diligence/compliance assurance reviews: regularly undertakes due diligence and compliance reviews in relation to how businesses manage their financial services regulatory risk for clients including as part of MA deals on both buy and sell sides
- regulatory engagement: expertise in advising clients on how to help them effective management their engagement with FCA including in situations where the client is distress or risk of enforcement action being pursued against them