Ben specialises in providing compliance, governance and risk advice to the boards of banks and regulated companies and assists new firms getting authorised by the FCA and PRA for the first time. He has worked with firms across a number of financial service sectors, leading the applications for banks, investment and fintech firms and supporting sectors that are facing FCA regulation for the first time, such as cryptocurrency. He is a regular speaker on FCA regulation and recently authored a report “Cryptocurrency: an insight into regulation”.
For five years Ben was Chair of the Association of Professional Compliance Consultants (APCC) Authorisations Working Group where he regularly liaised with the FCA authorisations team to help them consider improvements to the applications process. Ben also has ultimate oversight of Compliancy Services’ authorisations team which has managed over 1000 FCA and PRA applications in recent years.
Compliancy Services is an award winning compliance consultancy providing regulatory compliance support to banks, fintechs, capital markets firms, payments institutions, asset managers and credit firms and was awarded “Most Effective FinTech/RegTech firm” at the 2018 compliance industry awards. As CEO of Compliancy Services he is responsible for the development of their strategy and the new products and service innovation. Under his direction the company successfully brought a range of award winning new regtech products to market to support financial institutions onboard and monitor regulatory risk within their client relationships.