Speakers

David Skade
head of financial security
Calyon

David is the current Head of Financial Security at Calyon's offices in London with responsibility for the management of all aspects of financial crime. Previously at HVB AG in a similar role implementing financial crime risk management and undertaking investigations. David now specialises in the money laundering and fraud prevention crime area and has a background in internal auditing, operational risk management and corporate banking.

Neil Cowie
senior manager
Deloitte

Neil is a Senior Manager at Deloitte where he advises clients on the practical issues around the implementation of regulatory compliance processes. Some of his major achievements include setting up risk assessment programs, implementing conflicts management systems and the re-engineering of regulatory disclosure processes.

Prior to joining Deloitte Neil worked within Compliance for Barclays Capital and before that at Deutsche Bank. His main focus for the last ten years or more has been developing Compliance Systems and Controls.

To drive efficiency and cost reduction goals Neil has a clear vision that the future of Regulatory Compliance, (certainly within investment banking) will need to become fully integrated into the "front to back" business flow.

Allan Dampier
head of UK compliance
Kleinwort Benson Private Bank

Allan Dampier was appointed the Head of UK Compliance at Kleinwort Benson in May 2006. As well as being CF 10 in the UK he has experience of the organisation’s off-shore business and as part of Dresdner Bank AG he works closely with their Group Compliance function. He was previously he was the Group Risk & Compliance Officer for investment and actuarial consultancy Hymans Robertson. He has been a committee member for a number of industry bodies and is currently a member of APCIMS European Regulation and Financial Crime committees and the Institute of Actuaries Designated Professional Body committee.

Tom Golding
group director of Solution Services
Complinet Ltd

Tom is director in charge of Professional Services at Complinet. He manages all phases of pre- and post-sales consultancy services and delivery functions for engaging with, and supplying, innovative compliance solutions to Complinet’s clients. The range of services provided includes: process consultancy; project management; system design; integration and implementation consultancy; and training.

His team engages with a client during the initial bid phase through to effective delivery of a solution which is then handed over to Client Services for ongoing support.

Brian Harte
group head of compliance
Royal Bank of Canada

Brian Harte was appointed Group Head of Compliance for the Europe and Asia Regions of the Royal Bank of Canada in April 2006.

Prior to which from May 2001, Brian was Group Head of Compliance and Regulatory Affairs for the Barclays PLC Group. As Group Head, he was ultimately responsible for managing the Regulatory Compliance Function Globally for Barclays, which apart from the UK has significant operations in over 70 countries and was regulated by over 150 Financial Services Regulatory Authorities worldwide.

Before joining Barclays from 1980 Brian held a number of posts at The Chase Manhattan Bank and JP Morgan Chase (the latter as a result of a merger between The Chase Manhattan Corporation and J.P. Morgan & Co. on 1st January 2001) including from the mid nineties Managing Director and Head of Compliance for Europe, Africa and the Middle East.

Brian is a business graduate from the University of Birmingham and a Chartered Accountant, qualifying with the city firm of Deloitte Haskins & Sells (which is now PricewaterhouseCoopers) where he spent a considerable amount of time on assignment in the Middle East

Chris Leatherland
head of financial crime and MLRO
GE Capital Bank (GE Money)

Chris is currently Head of Financial Crime and Money Laundering Reporting Officer at GE Capital Bank (GE Money), a large retail centric operation with in excess of 8 million accounts handled by varying channels, and through numerous relationships both direct and with partners.

Previously with the National Australia Group (Europe) in a similar role, he has a retail/commercial Banking background with an extensive history in regulatory interface, addressing the creation of both strategic and operational Anti-Money Laundering prevention and detection regimes. He has experience in effective commercially balanced risk based methodologies in "Know Your Customer" due diligence and application criteria, with various techniques used for transaction/activity monitoring from simple monetary value exception reports to intelligent IT based rule modelling solutions.

With excess of 15 years experience liaising with all guises of Law Enforcement Agencies, both domestic and overseas his roles have provided him with comprehensive exposure to legal processes and operational cases across all Financial Crime mandates including Anti-Money Laundering, Fraud and Terrorist Financing.

Annie Mills
head of International Business Development Compliance
Standard Bank Plc

Annie is a senior manager within the Compliance department at Standard Bank Plc, which she joined in 2000. Based in London, her current role involves managing the regulatory aspects of Standard Bank’s international business initiatives and developments. She was previously Head of Standard Bank’s International Compliance Monitoring Team.

Annie has over 10 years’ Compliance experience, most of which has been gained in the international arena in developed and emerging markets, including the US, Canada, Brazil, Argentina, South Africa, Turkey, Hong Kong, Malaysia and Singapore.

Prior to joining Standard Bank Annie worked for Grindlays Private Bank, Guardian Investment Holdings and First Marathon Securities (UK) Ltd, where she was the Compliance Director.

She is currently a member of the Curriculum Panel for the Securities and Investment Institute Diploma exam in Regulation and Compliance and her book, "Essential Strategies for Financial Services Compliance" will be published shortly by John Wiley & Son Limited.

Roland Nattrass
associate, Financial Services Regulation
Nabarro

Roland is a Senior Associate specialising in UK and European financial services regulation at law firm, Nabarro.

Roland provides advice to regulated firms about complying with the principles based approach to conduct of business regulation. Roland was heavily involved with advising on MiFID for a number of clients in the financial services sector. Roland also works closely with the Nabarro funds practice and provides advice on a range of regulatory issues concerning fund structures and related promotions issues. In addition he advises firms facing potential FSA enforcement action, focusing on maintaining working relationships with the regulator where appropriate, and handling disputed enforcement proceedings where necessary.

Prior to Nabarro, Roland worked at the Australian regulator, the Australian Securities and Investments Commission (ASIC) where he was involved in investigation and enforcement of corporate and financial services laws.

Chris Pilling
chief executive officer
Complinet

Chris, a founder of Complinet, is CEO of Complinet Group. Based in London, Chris provides overall strategic direction for the company, particularly around the development of new products and services. He chairs the product development and technical sub-committee of the Board.

He is a passionate believer in the power of technology in adding value, solving problems and transforming business processes. He also concentrates on maintaining the entrepreneurial roots of Complinet and ensuring the client remains at the centre of everything the company does.

Richard Russell
group managing director, Global Screening
KPMG

Richard is the Group Managing Director for the Global Screening business at Complinet. He manages and provides strategic direction for this business. His team is responsible for providing and delivering a total AML solution embracing all the different aspects of due diligence to ensure clients receive the best information, training and operational services to combat the regulatory burdens imposed on the financial services industry.

He has a global remit and is charged with integrating best-of-breed technology to deliver successful client services.

Marcus Sephton
partner, head of Europe regulatory team
KPMG

Marcus leads our financial services regulatory practice within KPMG Europe. KPMG is the only major accounting firm that has brought together Risk, Actuarial and Regulatory Compliance professionals into an integrated practice, and is the largest integrated provider of audit, tax and advisory services in Europe. Our objective is to be the first choice for our clients and our people, wherever we operate.

The regulatory practice spans both prudential and conduct of business advisory work and compliance co-sourcing, with particular focus on the changing regulatory emphasis from rules to principles and the increasing supervisory pressure on senior management.

Marcus has advised on the business impact of regulation for 20 years and is also interested in and works on the Better Regulation agenda.