Adviser

Experience

Jacob is an experienced risk and compliance professional with a detailed understanding of the UK and European regulatory landscapes as well as the processes and priorities of the FCA. He supports a range of financial services clients at BWB with their compliance needs including authorisations, compliance monitoring, training, and implementation of regulatory change.

Jacob joined BWB Compliance in July 2018, having spent seven years working in compliance, both as a regulator within the FCA and in house with Metro Bank. He brings deep understanding of the FCA’s supervisory approach and practical experience of banking regulation.

Jacob holds a BA in Mathematics from the University of Oxford and has passed Level III of the Chartered Financial Analyst examinations.

Examples of Recent Work

  • Analysis of SM&CR compliance and advice on remedial actions
  • Implementing conduct risk framework and associated management information requirements
  • Reviewing vulnerable customer policies and procedures
  • Advising on data retention policies and wider GDPR implementation
  • Drafting policies and procedures for compliance and conduct monitoring
  • Reviewing governance and controls proposals associated with structural reform

Qualifications and Career

  • Compliance and Conduct Risk Manager, Metro Bank: July 17 - June 18
  • Risk Specialist - Banking Supervision, Financial Conduct Authority: September 14 - July 17
  • Risk Analyst - Financial Risks and Products, Financial Conduct Authority: September 11 - 14
  • Passed CFA Level III, CFA Institute
  • BA Mathematics, University of Oxford

Pro Bono, Memberships and Appointments

  • Sponsor Governor and Chair of the Finance and General Purposes Committee, Harris Academy Falconwood 2014 - 2017