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Our Principal Consultants
The Managing Consultants are Mazhar
Manzoor, and Gordon Lewis.
Mazhar Manzoor BSc. FCA. ASIP. CeFA. MCIM.
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Mazhar is Chief Executive
and Managing Consultant of FSA Compliance Consultants Ltd which is a member of
the Association of Professional Compliance Consultants. He is a compliance and
operational risk practitioner and has worked in senior Regulatory Compliance
roles for Financial Services organisations throughout the last 20 years
including leading global asset managers.
Clients include international banks (such
as Rabobank, Butterfield Bank, Europe Arab Bank and BNP Paribas), investment
banks (such as Mitsubishi UFJ Securities), several asset managers and hedge
funds, a number of market makers in derivative products, several lenders, IFAs,
Advisory firms, Corporate Finance firms, Lloyds brokers and general insurance
firms as well as Dubai based banks.
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He has an excellent current knowledge of
the FSA rulebook and the FSA’s risk based approach (ARROW II), international
Money Laundering rules, and EU-wide rules such as those introdiMarket in
Financial Instruments Directive (“MiFID”) and the Capital Requirements Directive/ Basel II.
Mazhar is regarded as offering thought
leadership and regularly writes in leading financial services publications
including Bloomberg. Compliance Online, Money Laundering Bulletin, Compliance
Monitor etc. He was a member of the British Bankers Association’s MiFID Working
Group and also speaks at industry events, most recently presenting to the membership
of the Association of Certified Accountants on MiFID at Barclays World HQ. He
has produced a Regulatory White Paper and regularly runs successful international
workshops AML, Compliance and Operational Risk for senior bank executives.
He has strong supporting skills in Project
Management (Prince 2) and developing best practice Operational Risk Frameworks,
having worked on BNP Paribas’ ICAAP/Common Platform/Pillar II project and on a
Risk Framework project at Europe Arab Bank. Programme Management experience
includes inter-alia managing the Euro and BCP programmes in a leading global
asset manager and an international bank’s complex transition to being FSA
regulated for its mortgage operations.
He is a graduate from the University of
Manchester and a Fellow of the Institute of Chartered Accountants (having
qualified with KPMG) and his relevant qualifications include Certified Financial
Analyst, Associate of the Society of Investment Professionals, Member of the
CFA Institute and member of the Global Association of Risk Professionals. He has
also obtained the Investment Management Certificate, CII Financial Planning
Certificate, Registered Representative of TSA and completed exams to become Associate
of the Institute of Investment Management & Research in a record eight months.
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Areas of Expertise
Implementation of Start up Infrastructure
- Built entire compliance infrastructure
of records, procedures, controls & client documents for an
IFA and Asset Manager on the introduction of the Financial Services
Act and trained all staff on the application of the new rules
and procedures. Also established computerised financial accounting
systems in “green fields” and new investment accounting
systems.
- Built scalable operational infrastructure
at a fund of hedge funds manager which facilitated several hundred
percent growth in assets managed whilst significantly enhancing
efficiency and customer service and building new process controls
over FX hedging etc.
- Established computerised accounting systems
and sector reporting in a Quant Asset Manager.
FSA Compliance
- Lead international project to develop global
derivatives policy & procedures in one of the World’s
leading Asset Managers.
- Co-ordinated launch and cross-functional
take on of 21 offshore funds in multiple new jurisdictions to
enable an Asset Manager to expand rapidly into new markets.
- Built strong compliance function reporting
to the Audit Committee of a major US Life Insurer.
Diagnostic Review
- Driving force behind development
of a robust compliance & controls infrastructure at a sizeable
Asset Manager, re-engineering business processes to address regulatory
breaches. This enabled issue of a favourable FRAG report which
supported the company’s marketing to institutional clients.
- Established risk based auditing and recommendations
led to significantly enhanced controls infrastructure.
- Supported Regional Strategy of a Building
Society by designing & implementing state of the art management
information systems for the 151 branch network.
Business Continuity Planning
- Lead major initiative to introduce and
implement tested Business Continuity Plans internationally across
a complex International Asset Management Group.
Change/Project Management
- Led a programme of 19 projects to prepare
a large and complex Group for European Economic Union.
- On the Steering Committee which implemented
an industry leading edge Straight Through Processing solution.
- Pioneered Capital Adequacy reporting systems.
- Co-ordinated successful integration of
a substantial acquiree.
- Co-ordinated take on of major new custodians
& administrators.
Gordon Lewis
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Gordon is a Principal Consultant with extensive
experience of leading successful teams...... . |
Areas of Expertise
Details coming shortly
Compliance
Business Continuity Planning:
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