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Lisa has 15 years of regulatory experience, gained through working at a major consulting firm, secondments to several retail banks and the Financial Ombudsman Service. Her focus is on operational risk and compliance, regulatory change, complaints management and remediation within the financial services sector.
Lisa uses her extensive regulatory knowledge, coupled with her deep understanding of operational environments, to support clients in balancing their commercial and operational objectives with regulatory requirements. This has included undertaking compliance effectiveness reviews, quality assurance reviews, assessing adherence to internal policies and procedures, and the review and design of risk management and governance frameworks.
Working with clients, Lisa supports firms with the review and design of processes, policies and procedures, ensuring adherence to regulatory requirements and making recommendations for enhancements to drive operational efficiency whilst achieving good customer outcomes and mitigating the risk of foreseeable harm.
Supported compliance teams of online retail banks prior to launch including reviewing and designing compliance frameworks, processes, policies and procedures.
Reviewed corporate bank's internal policies and procedures, identifying gaps and making recommendations to ensure compliance with PSD2.
Supported retail bank's compliance department in assessing the competency of its newly established management assurance function.
Led a team providing oversight of a third party’s review of complaints under a section 166, including the production and presentation of weekly MI for senior management and the FCA.
Design and delivery of large-scale remediation programs, including investigation and customer communications.
Undertook assurance review of a digital bank’s Consumer Duty implementation activity, including the production of a report for senior stakeholders. Continue to provide post implementation support.
- The University of Law, London