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James Kelly

Associate Director, London

James is an Associate Director in DWF's financial services regulatory consulting team. James has over 18 years’ experience in Financial Services; the last 12 spent in compliance advisory, assurance and audit, advising firms about regulation and conduct issues. 
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07834950459

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Experience

James is an experienced financial services regulatory professional with strong regulatory knowledge and understanding and excellent stakeholder management skills. 

James's recent focus has been working across consumer credit, wealth management and banking, supporting firms in areas including conduct risk, governance and controls, SM&CR and financial crime. 

Recent experience includes:  

  • Managing client engagements including FCA skilled person’s review, audit and regulatory assurance, including liaising with the FCA supervisory units
  • Managing multiple corporate governance reviews on behalf of solo-regulated firms
  • Reviewing and advising on enhancements to compliance frameworks for wealth management firms and brokers to ensure they reflect any regulatory changes and are proportionate to the firm's business risks
  • Providing training workshops on effective financial crime risk assessment methodologies
  • Prepping and conducting mock interviews for senior management staff in preparation for FCA interviews
  • Coordinating and delivering industry events on key regulatory change and best practice guidance
  • Designing a new business verification framework for a global bank 
  • Leading reviews of conduct risk framework design and implementation across the front office and back office teams  
  • Conducting Product Reviews, focusing on assessing compliance with regulatory requirements and fair treatment of customers
  • Review design and implementation of control frameworks, first line quality assurance and monitoring programmes.  

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