Priscilla Gaudoin

Head of Risk & Compliance

Priscilla is a certified compliance professional specialising in governance, risk management and compliance. With a career spanning 25+ years, she has previously worked as a consultant providing regulatory advice to firms from various FS sectors. She has also held senior management roles as the Chief Compliance Officer and MLRO. Priscilla has significant experience in designing and implementing compliance processes and controls as well as risk management frameworks. She is a Fellow of the International Compliance Association and a member of the Chartered Institute of Securities and Investments.

Enquire about partnerships Connect with Priscilla Gaudoin

Priscilla’s dual role also encompasses the oversight of risk management at Ruleguard, and strategic guidance on the development of Ruleguard’s GRC solutions. She is a strong advocate of RegTech and believes that leveraging advanced technology is key to proactively managing regulatory risks and boosting operational efficiency.

Committed to knowledge sharing, Priscilla plays a vital role in supporting the next generation of compliance professionals. She has contributed to the PIMFA CASS Academy, sponsored by Ruleguard, and regularly mentors junior professionals in the industry. Include link to CASS academy.

Priscilla brings extensive experience as a consultant, offering expert regulatory advice to financial services firms, including financial advisors, investment management firms, fund managers, and insurers. She has helped these organisations evaluate and interpret regulations and implement robust processes and controls that stand up to external scrutiny.

She has also held senior leadership roles as Chief Compliance Officer and MLRO, where she oversaw regulatory visits and thematic reviews, as well as the design and implementation of end-to-end compliance and risk management programmes.

Priscilla is a certified compliance professional specialising in governance, risk management and compliance. She is a Fellow of the International Compliance Association, and an active member of the IRM.

All articles from Priscilla Gaudoin

Blogs Webinars Whitepapers Case Studies Video

Consumer Duty: Data to demonstrate compliance

compliance, Consumer Duty, data

Consumer Duty: Data to demonstrate compliance It’s now just over a year since Consumer Duty came into force for open products and 31st July 2024 saw the regime extended further to closed products. FCA took this opportunity to share feedback, and highlight areas where...

UK & Ireland: Regulatory Priorities for 2024/25

culture, corporate governance, risk management, regulatory strategy

Robust risk management and good governance are crucial elements for success! As we approach the second half of 2024 and look forward to 2025, where are the regulators focusing their attention? In Ireland, we see the Central Bank of Ireland (CBI) focusing on: Fighting...

Signing off financial promotions with finesse

accountability, oversight, FCA gateway, financial promotions, marketing compliance

The UK’s financial promotions regime saw some significant changes in the past year, including the introduction of a regulatory gateway for approvers of third-party financial promotions. The emphasis on financial promotions isn’t new. In recent years, we’ve seen the...

Navigating the AI Frontier: A Regulatory Journey

governance, third parties, accountability, corporate governance, risk management, regulatory strategy, monitoring

“Depending on who you speak to, AI could either lead to the destruction of civilisation, or the cure for cancer or both. It could either displace today’s jobs or enable an explosion in future productivity. The truth probably embraces both scenarios. At the FCA we are...

Is SM&CR working?

accountability, SM&CR, audit trail

The SM&CR review was announced as part of the Edinburgh reforms towards the end of 2022, with HM Treasury indicating that “ some stakeholders have raised concerns about their experiences of specific aspects of the regime .” Consequently, the government is assessing...

Complaints: Is your data telling you something?

consumerduty, culture, complaints

The FCA’s thematic review on complaints handling took place almost 10 years ago, but its findings continue to be relevant and are echoed in the FCA’s Consumer Duty work. The regulator aims to ensure firms treat customers fairly by supporting those in difficulty and...

Why Managing Conflicts should still be on your agenda!

wealthmanagement, consumerduty, compliance, corporate governance, risk management, conflicts, monitoring, SM&CR

Conflicts of interest is a subject matter that should be relatively easy to understand and as such, straightforward when it comes to compliance. Why then do we hear of senior managers who have failed to declare a potential conflict or to recuse themselves from related...

Are you ready for the Consumer Duty?

governance, third parties, accountability, assessments, wealthmanagement, consumerduty, systems and controls, compliance, culture, corporate governance

Following the initial milestone of 31st October 2022, the FCA reviewed a sample of the implementation plans from some of the larger firms operating in the UK. These were firms deemed to be of higher risk as they operate in the retail market and could impact both...

CAR 2022: What should you focus on?

governance, accountability, corporate governance, risk management, funds, CAMP, audit, CASS, client assets

The Irish Client Asset Regulations (the CAR) were introduced to inspire public confidence and protect investors if an investment firm became insolvent. Revisions were made to the CAR in 2015 and today, we see Ireland preparing for further enhancements with the...

How do we make the UK Fund Regime more attractive?

third parties, oversight, tax reforms, fundregimereview, asset management

This is one of the questions addressed in the UK's consultation Review of the UK Funds Regime . During 2022, the UK Government published its final response on how it aims to enhance the fund regime in the UK. In its publication, the HMT acknowledged the role that the...

How audit reforms can improve your firm's reputation

corporate governance, SOX, audit trail, insurance, FRC

This statement encapsulates the importance of the annual reports and their audit, not just in verifying the financial status of individual firms, but by the impact upon the wider UK infrastructure. We’re all too aware of high-profile firms going bust without any...

It's time we discussed Pension Dashboards

third parties, FCA, pensions, oversight, risk management, audit trail, data sharing, pensiondashboards, MaPS, TPR

Whether you work in the pensions sector, or not, everyone needs to understand what Pension Dashboards are, and what it means for you personally. With the draft Pension Dashboard Regulations 2022 published earlier in 2022, we now see a large scale collaboration between...

See the Ruleguard platform in action

Priscilla Gaudoin

Book a discovery call

All articles from Priscilla Gaudoin