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CISI Compliance Podcast - Episode 3
42:35|In this episode of the CISI Compliance Podcast, Catherine Levy, Chair of the CISI Compliance Forum, sits down with Rob Gordon, Partner at RSM UK, and Mark Bailey, Associate Director at RSM UK, for an engaging and insightful discussion on the evolving world of compliance.Together, they explore the challenges and opportunities facing compliance professionals today, from navigating rapidly changing regulatory expectations to building resilient frameworks that support good governance and sustainable growth. Rob and Mark share their practical experiences from working with firms across the UK, offering real-world examples, expert perspectives, and thoughtful guidance on strengthening compliance culture.Whether you’re a compliance officer, senior leader, or simply interested in how the landscape is shifting, this episode provides valuable takeaways on risk management, regulatory readiness, and the future of the profession. Tune in for a clear, candid, and informative conversation with two leading voices in the field.
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CISI Compliance Podcast - Episode 2
41:16|In this episode of the CISI Compliance Podcast, Catherine Levy, Chair of the CISI Compliance Forum, sits down with Rob Gordon, Partner at RSM UK, and Mark Bailey, Associate Director at RSM UK, for an engaging and insightful discussion on the evolving world of compliance.Together, they explore the challenges and opportunities facing compliance professionals today, from navigating rapidly changing regulatory expectations to building resilient frameworks that support good governance and sustainable growth. Rob and Mark share their practical experiences from working with firms across the UK, offering real-world examples, expert perspectives, and thoughtful guidance on strengthening compliance culture.Whether you’re a compliance officer, senior leader, or simply interested in how the landscape is shifting, this episode provides valuable takeaways on risk management, regulatory readiness, and the future of the profession. Tune in for a clear, candid, and informative conversation with two leading voices in the field.
CISI Compliance Podcast - Episode 1
38:24|In this episode of the CISI Compliance Podcast, Catherine Levy, Chair of the CISI Compliance Forum, sits down with Rob Gordon, Partner at RSM UK, and Mark Bailey, Associate Director at RSM UK, for an engaging and insightful discussion on the evolving world of compliance.Together, they explore the challenges and opportunities facing compliance professionals today, from navigating rapidly changing regulatory expectations to building resilient frameworks that support good governance and sustainable growth. Rob and Mark share their practical experiences from working with firms across the UK, offering real-world examples, expert perspectives, and thoughtful guidance on strengthening compliance culture.Whether you’re a compliance officer, senior leader, or simply interested in how the landscape is shifting, this episode provides valuable takeaways on risk management, regulatory readiness, and the future of the profession. Tune in for a clear, candid, and informative conversation with two leading voices in the field.
Preparing Your Business For Sale – The Broker’s Inside Tips
47:47|In this insightful episode, we’re joined by Louise Jeffreys, Managing Director of Gunner & Co, one of the UK’s leading M&A consultancies specialising in the financial planning and wealth management sector. Louise shares her expert advice on how to prepare your business for sale — from getting your financials in order to understanding what buyers are really looking for.She also offers a rare glimpse behind the scenes with practical tips brokers use to maximise value and attract the right buyers. Whether you're considering a sale in the near future or simply want to future-proof your business, this conversation is packed with actionable insights and real-world examples.Tune in for a candid discussion on valuations, deal structures, cultural fit, and how to position your firm for long-term success — straight from one of the industry's most trusted voices.
Black History Month 2023: Rising through our ‘glass ceiling’
36:06|There are still many people who are unaware of the array of opportunities available to them in the financial services sector, especially those who are underrepresented, including Black women. In this insightful panel discussion, three sector professionals across media, banking and investment share how they exercised leadership to forge their careers in finance, the value their perspectives bring, and explain what more organisations can do to reach marginalised communities. Speakers: Selina Flavius, Founder of Black Girl Finance; Alexis Owuadey, vice president at Harbour Vest; Taofikat Agboola, client management associate at RBC Wealth Management.Moderator: Zerina Francis, ATP & test centre executive at Chartered Institute for Securities & Investment
7. Customer vulnerability - Regulatory and customer behavioural insights - Part 2
29:47||Season 1, Ep. 7This event was provided by the CISI Compliance Forum with guest speakers Dr Christopher Fitch, Research Fellow at the Personal Finance Research Centre (University of Bristol), Vulnerability Lead at the Money Advice Trust, and a Fellow of the Royal Society for Public Health and Leigh Caldwell behavioural economist, founder of the Irrational Agency and author of The Psychology of Price.Joining the panel is Bernardine Reese MD Protiviti and Compliance Forum committee member.Key topics will include a short history of the regulatory background for customer vulnerability, thoughts and insights from Dr Christopher Fitch and Leigh Caldwell about what customer vulnerability is, how it might manifest, behavioural insights into customers who may be vulnerable and considerations for Firms in how to manage their interactions with customers who may be vulnerable and MI that may help with this.
6. Customer vulnerability - Regulatory and customer behavioural insights - Part 1
31:18||Season 1, Ep. 6This event was provided by the CISI Compliance Forum with guest speakers Dr Christopher Fitch, Research Fellow at the Personal Finance Research Centre (University of Bristol), Vulnerability Lead at the Money Advice Trust, and a Fellow of the Royal Society for Public Health and Leigh Caldwell behavioural economist, founder of the Irrational Agency and author of The Psychology of Price.Joining the panel is Bernardine Reese MD Protiviti and Compliance Forum committee member.Key topics will include a short history of the regulatory background for customer vulnerability, thoughts and insights from Dr Christopher Fitch and Leigh Caldwell about what customer vulnerability is, how it might manifest, behavioural insights into customers who may be vulnerable and considerations for Firms in how to manage their interactions with customers who may be vulnerable and MI that may help with this.