SM&CR post-implementation virtual forum

Graham has 25 years of experience in working in Financial Services. He has hands on extensive experience holding significant management functions of Compliance Officer, Anti Money Laundering Officer and a Board Director with several major firms. Graham has a recognised pedigree for delivering effective oversight and controls in risk and governance and is also a data protection specialist. Professionally qualified in management and Financial services and having regulatory, business, and customer understanding, and the ability to influence and communicate at all levels.

David is Head of the Conduct Specialists Department in Supervision at the FCA. David is responsible for the extension of the senior managers and certification regimes to all FCA authorised firms. This is one of the FCA’s workstreams delivering on its priority of governance and culture at firms, for which David is the accountable executive. As well as having responsibility for SM&CR and the FCA’s culture and governance priority, David also oversees the FCA’s specialists on financial promotions and consumer contracts issues, as well as specialists in remuneration at firms and the FCA’s use of its powers under s166 FSMA (“skilled persons”). David has been at the FCA/FSA since 2000 where his roles have included heading the investment banks department in Supervision Division and a variety of roles in the Markets and Enforcement divisions. Prior to joining the FSA, David worked at the London Stock Exchange in its Listing Division. David trained as a solicitor and worked at Lovells (now Hogan Lovells) from 1992-1998 where he specialised in commercial litigation involving banks and other financial services firms.

Natasha Cork is the EMEA Head of Asset Management Regulatory Compliance, managing a Compliance Department for businesses that covers funds, institutional and alternative investment management across the region. Natasha is the registered SMF16 for the UK Asset Management regulated entities - HSBC Global Asset Management (UK) Limited and HSBC Alternative Investments Limited. Natasha has been working in financial services since 1998 and joined HSBC Global Asset Management in 2001 holding various roles in the Compliance team. Natasha holds a BA Hons in Philosophy from Bristol University.

Katharine advises on all aspects financial markets and regulatory work. She previously spent nearly five years as an FCA lawyer including working in its Enforcement division. Through her experience with the FCA, Katharine has a detailed understanding of regulatory processes and policy-making enabling her to advise clients on a broad range of regulatory and strategic issues including FCA investigations in respect of both firms and individuals. Katharine has worked with a variety of firms assisting with SM&CR implementation projects, providing training and advice on governance issues and carrying out remedial work for firms already subject to SM&CR. Katharine chairs TISA's SM&CR working group and is regularly invited to speak on SM&CR at external events.

Jeremy is counsel to Goldman Sachs International Bank and is also the head of Goldman Sachs’ Investment Management Division (IMD) Legal team in EMEA. IMD is comprised of Goldman Sachs Asset Management and Private Wealth Management. Prior to his current role, Jeremy was counsel to Goldman Sachs’ leveraged finance and reaI estate finance teams in EMEA. Before joining Goldman Sachs, Jeremy was corporate counsel at a major fund manager. Jeremy began his career in Ashurst’s banking and finance department.

David Mapplebeck is the EMEA Chief Administrative Officer for Northern Trust and responsible for the day-to-day operation of SMCR requirements across the group. David joined Northern Trust in January 2017, having previously worked at State Street Bank & Trust Company and the FCA Supervision Division. With a legal and regulatory background, David has held executive roles in brokerage, asset management, family office and custody banking businesses both in the UK and the Middle East. David holds a BA Hons in Law degree from Durham University and qualified as a solicitor in 1994.

Julie has more than 30 years’ experience in Financial Services all of which has been gained within the Banking, Insurance and Advice/Wealth Sector. Julie has held senior roles across Sales, Compliance, Operations and Training & Competence and for the last third of her career has acted as a consultant to the industry. As a partner at the regulatory training & consultancy firm FSTP for over 4 years, Julie led on projects covering the Approved Persons Regime, Culture, Senior Management Responsibilities, Regulatory Interview Preparation, S166 Remediation Projects, Training & Competence, Conduct Risk and Treating Customers Fairly to name but a few. Having spent the last 3½ years at Worksmart, Julie has focused heavily on assisting organisations implement their responsibilities under the Senior Managers & Certification Regime. Julie undertakes work on SM&CR, Culture & Conduct and its application for a range of Trade Bodies in the UK such as UK Finance (formerly British Banking Association), The Investment Association, The Finance and Leasing Association and the Credit Services Association and historically has worked with their members in open settings and on in-house projects across this particular topic. Leading the regulatory & market engagement approach for Worksmart, Julie is focused on helping develop and deliver products that not only assist firms in meeting their regulatory obligations but also ensuring that they drive business benefits within the firms.