2010 ARROW and other FSA visits course - Speakers
Speakers
Rod Hepple-Wilson
Partner, Joseph & Hepple-Wilson
Rod has a particular interest in insurance, retail banking and mortgage lending especially in the areas of regulatory process improvement and managing the relationship with the customer. He provides regulatory advisory services to a range of financial services clients across the UK, also leading the company’s North of England activities where he has long-standing local knowledge of the markets and players.
Initially Rod worked in the legal sector, he then moved into financial services and has worked in this sector for 28 years. Rod held senior operational line roles in compliance with Legal & General and as Group Compliance Officer of Northern Rock before moving into consultancy positions with “Big 4” firms based in Leeds. He joined Serena to create Mazars’ regulatory practice and offer a local Northern-based regulatory advisory service, a fundamental element of the practice they created and one which the new company maintains to this date.
Serena Joseph
Partner, Joseph & Hepple-Wilson
Serena has more than 20 years experience of providing specialist assistance to a range of firms from across the UK on managing regulatory change. She has a particular interest in corporate governance, risk management and embedding regulatory principles into business design and process, whilst enhancing the overall effectiveness of the business. Serena helps clients to understand and manage their relationship with the FSA, which includes ongoing ARROW supervisory activities and in meeting remediation requirements.
Serena’s regulatory expertise has been developed in the regulatory practices of two of the “Big 4” firms: in setting up KPMG’s Regulatory Practice and then joining Ernst & Young, with the same role. Serena then joined Mazars LLP as a partner to develop her own practice. The team which she led has now formed its own practice, following her proven approach of technical rigour and relationship-based service.
Kate Davies
Senior Manager, Joseph & Hepple-Wilson
Kate is well known in the financial services market as she was a key member of the policy team at BSA/CML when the two trade associations de-merged in 1997, Kate undertook the CML’s Senior Policy Adviser role. She has significant experience of working with the Regulator – having been in this policy role throughout the implementation of first the industry’s voluntary Mortgage Code and then the statutory regime under the FSA. She brings in-depth knowledge of both MCOB and ICOBS.
Kate was closely involved with the FSA’s promotion of its Treating Customers Fairly (TCF) initiative. She worked with the European Mortgage Federation on the development of its European Code of Conduct on mortgages, and with the relevant UK government departments on co-ordinating a UK industry response to the proposed Directive on Consumer Credit.
Lyndon Nelson
Director of Risk Management Division, Financial Services Authority (FSA)
Lyndon Nelson is the Director of the Risk Management Division for the Financial Services Authority (FSA). The Risk Management Division is responsible for the methods, policies and infrastructure of risk management throughout the FSA. Lyndon has a strong background in risk management, regulation, economics, finance and public policy. In the 20 years he has worked in the financial industry he has been involved or been responsible for all of the major developments in risk assessment, culminating with the development of ARROW II. Lyndon also leads a team of risk analysts who support the supervision of over 30,000 firms. The team regularly produce the Financial Risk Outlook.
Lyndon has been very committed to improving the FSA’s ability to manage financial crises and has jointly led simulation exercises and training on financial stability for both domestic and international organisations. Lyndon has been responsible for many change and transformation programmes in his career, but he is most proud of the teams he has built – in particular the Risk Function team, which is regularly credited by its peers as setting the global standard for risk management in a regulatory context.
