Corporate Advisory

I advise financial services organisations on conduct and compliance: how firms watch, judge, and respond to the way people behave, and how to do that both effectively and ethically. This is independent advice grounded in having done the work, more than 20 years inside global banks, latterly as a Managing Director and Global Head of Compliance Surveillance, rather than observed it from outside.

I work with boards, executive committees, and Heads of Compliance, Risk, and Surveillance, and with the RegTech firms and investors building the tools this work depends on. Engagements range from a focused review to sustained advisory support, shaped around what the organisation actually needs.

The Ethics and Governance of AI

AI is being embedded in conduct and compliance faster than governance frameworks can be developed and controls applied. The questions reach across the full governance spectrum: how firms supervise systems they cannot fully observe, who remains accountable when decisions are machine-shaped, how AI risk sits alongside existing regulatory obligations, and how firms manage the dependency, resilience, and control questions that come with it.

Alongside these sit the questions of responsible and trustworthy AI: whether the systems now interpreting people, on conduct, credit, promotion, and performance, can be relied on to do it fairly, and how a firm can answer for them.

I work with firms on where these questions land in their own use of AI. The aim is practical: to help boards, compliance, and risk functions govern AI in a way that meets regulatory expectations on accountability and supervision without stalling the business. My focus is the practical governance gap, where regulatory expectation, ethical judgement, and operational reality meet, rather than AI ethics in the abstract.

Conduct Risk & Surveillance – Designing, reviewing, and optimising surveillance across trade, e-communications, and voice: programme health checks, platform and vendor reviews, gap analyses, remediation planning, and the governance around market abuse, information barriers, suitability, and non-financial misconduct.

Compliance Culture & Ethics – Assessing culture, designing conduct frameworks, and building the interventions that embed accountability, moving conduct from a control exercise to something the business owns.

Governance & Controls Frameworks – Establishing governance structures, control frameworks, and accountability mechanisms for regulatory compliance and non-financial risk, including policy design, regulatory gap assessments, and implementation support.

Independent Committee Member & Board Advisory Services – Serving on compliance, ethics, and risk committees, and advising RegTech firms and their investors on the conduct and surveillance technology market.

Regulatory Strategy & Change Management – Advising on regulatory change, the design of compliance functions, and the stakeholder work needed to carry business, board, and regulators together.

Get in touch

If you are working on conduct, compliance, or the ethics of AI in financial services, I would be glad to talk