David Stuart
Senior Principal Consultant
David is a highly experienced professional in the Financial Services sector with almost 40 years of experience in 1st and 2nd line roles and strong expertise in regulatory change and implementation programmes, he has an in-depth knowledge of major European regulations, Corporate Governance and Operational Risk. His previous roles were as COO at Alpari and European Head of Advisory Compliance Standard Chartered Bank.
David has extensive experience in regulatory compliance and financial markets, helping clients navigate the complex regulatory landscape and deliver exceptional value to clients.
Example Engagements
Conducted a series of mock skilled person interviews with the client onboarding team at an international bank. Providing written feedback on areas for enhancements both for the bank processes as well as personally for the individuals.
Advised a trading platform on their transaction reporting and making an errors and omissions report to the FCA.
Reviewed and advised on the required regulatory permissions, activities, and customer licences required for a new UK-based broker dealer.