Nick Oxley
Principal Consultant Hogan Lovells Solutions
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Overview
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Experience
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Credentials
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Insights and events
Nick has over 25 years’ of experience gained across financial services firms of all sizes. He has extensive regulatory knowledge and experience in policy, assurance, governance & control at all levels, which is utilised to provide considered and pragmatic views in operational design, build, implementation and oversight roles. This supports firms in translating regulatory requirements into real-life business environments.
Nick’s clients range from large retail, commercial, private and investment banks, insurance firms & brokers, and independent financial advisers through to high growth start-ups.
Representative experience
Identification of key risks and recommended control activities to demonstrate and embed good practice as part of a high-profile digital bank launch.
Review of a new digital bank’s key processes and procedures to ensure regulatory, conduct and customer good practices are met.
Supporting firms on their regulatory authorisation journey with clear and considered guidance, setting FCA expectations and outlining good practices at both pre and post authorisation.
Design and implementation of complaint handling frameworks to deliver good outcomes, adhere to all regulatory requirements and conduct insightful root cause analysis.
Design, implementation and oversight of a bank-wide active monitoring framework for complaints to enable the firm to demonstrate it could identify, review, escalate and act on systemic issues
Reviews existing quality assurance frameworks to identify regulatory, conduct, operational and control gaps, providing insight and solutions to enable a best practice framework to be delivered