Awarded the Chartered Fellowship of the Chartered Institute for Securities and Investments. Delivered a presentation to the British Bankers Association in Jan 2013 on Responding to an S166 Requirements Notice and managing the Risk Mitigation Program. In recent years, he has been involved in working with all sizes of firm, including a bank start-up, AML remedial work and other areas including strategy, systems and controls, sales process, conduct risk, and cultural changes. Previously, Lee has written and published a Compliance Managers Guidebook and more recently Conduct Risk both as EBooks and paperback available on Amazon. Additionally, Lee wrote for the IFA Magazine under the banner of the “Compliance Doctor” until April 2016, completing the first 5 years of the publication. This brand has been relaunched to support ‘Compliance Consultant’ at the start of 2019 as the company is increasingly getting requests for help in managing compliance situations and issues, requiring detailed diagnoses and prescribed remedial or preventive actions. He has provided departmental compliance readiness to a major high-street bank, working with their direct sales force sales quality assurance and scoring system and dealing with external provider platform systems that interfaced with the retail banking systems to provide ease of use for advisers and customers.
Lee implemented major changes to a nationwide banks retail FS sales-force (c1000 persons) in both sales practice and management/monitoring/T&C. Also, Lee leads the implementation of the Conduct Risk Framework for a UK Major Building Society. Working with a major insurer, He has performed governance advisory work on multi-company mergers ensuring the governance and risk framework transferred seamlessly and adopted the best practices from each.
Additionally, Lee has been involved in the design and implementation of a global Operational Risk Controls Framework for an Inter-Dealer broker as well as a multi-jurisdiction banking group and installing the risk reporting tool for staff to update the risk profile of the bank. Further to this was instrumental in devising strategy, planning and execution of a successful Business Continuity Plan test with full Disaster Recovery site involvement. He was also involved in helping set up a risk matrix and compliance controls for a foreign sponsored bank in 2008 and a local authority banking initiative until 2016.
Working with both IT and operations, Lee implemented all controls and process mapping, all protocols, prepared the policies, procedures, designing and delivered training in preparation for regulatory approval, and even assessed a general insurance call centre for TCF.
Chartered Fellow of Chartered Institute for Securities & Investment
Fellow of Institute of Sales & Marketing Management
Diploma in Investment Compliance
FPC I, II & III
Diploma in Operational Salesmanship
Published author of compliance and risk books