Nick is a Senior Vice President in Kroll’s Regulatory Consulting team, providing advice and guidance in all areas of regulation and compliance to large and small institutions, typically in the retail sector. Prior to becoming a consultant, Nick had over 15 years’ experience in governance, investment advice and risk management and has held senior roles within leading wealth & asset management institutions, including Head of Risk for Tatton Investment Management, Regulatory Risk Manager for Prudential M&G’s wealth management division and Head of Compliance and MLRO (SMF 16 & SMF17) for wealth management and asset management businesses, reviewing and authorising all advice. Nick was also responsible for technical training of an intermediary field-force and telephony service supporting financial advisory firms and is a certified data protection officer.

At Prudential M&G, Nick successfully led business change projects linked to all relevant regulations, such as the Retail Distribution Review, MiFID II, auto-enrolment and Pensions Freedom. He also implemented a risk management framework across Tatton Investment Management and was responsible for all compliance matters at Grosvenor Wealth Management, an advisory and discretionary wealth management business.

At Kroll, Nick provides technical regulatory support, frequently as a Subject Matter Expert (SME) to assess firms’ investment governance, risk management and advice processes and leading due diligence audits for business mergers & acquisitions. Where required, Nick can support with FCA liaison and provide guidance to Boards and other governing bodies on key regulatory change and other general compliance subjects.