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Priscilla Gaudoin

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.

She is responsible for Ruleguard’s Thought Leadership Programme, where she writes regular in-depth articles, white papers, and hosts insightful webinars on a variety of regulatory matters including CASS, SM&CR, Risk Management, Operational Resilience and AI.

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.

Priscilla brings extensive experience as a former 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

Governance & Workplace Pensions

Governance & Workplace Pensions

Key Insights on Effective Governance for Workplace Pensions Governing bodies have a duty to fulfil in providing oversight. What does that mean for workplace pensions? For workplace pensions, the bodies tasked with this oversight are the Independent Governance...

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Operational Resilience: Countdown begins, are you ready?

Operational Resilience: Countdown begins, are you ready?

The FCA hosted a live event providing feedback to the industry regards preparation for the March 2022 deadline. During the session, representatives from both the FCA and PRA presented feedback and responded to industry queries. The regulators were keen to remind...

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How well do you know your Appointed Representatives?

How well do you know your Appointed Representatives?

In December 2021, the FCA published its proposals for improving the oversight of appointed representatives. Regulatory expectations: The FCA is looking to reduce harm to consumers by strengthening the appointed representatives regime. From its thematic reviews of...

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What will 2022 hold for Financial Services?

What will 2022 hold for Financial Services?

The FS Regulatory Initiatives Forum is still relatively new. In our earlier publication , we reviewed this collaborative approach towards financial services in the UK. The aim is to coordinate efforts to help firms manage regulatory change. In November 2021, the Forum...

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ESG: Positive, Sustainable Change

ESG: Positive, Sustainable Change

In November, the Financial Conduct Authority’s CEO, Nikhil Rathi delivered a speech at the United Nations Climate Change Conference (COP26). His speech highlighted the need for a strategy that encourages positive and sustainable change. The FCA’s strategy supports the...

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Tips to create risk ownership within your firm

Tips to create risk ownership within your firm

Strategies for Establishing Risk Ownership in Your Firm One of the fundamental obligations applicable to all regulated firms is the need to implement appropriate processes to manage risks. But how do we encourage our staff to take responsibility and raise issues...

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Operational Resilience: Why is it so important for insurers?

Operational Resilience: Why is it so important for insurers?

L ike banks, insurers operate on a large scale and globally, but by their very nature, insurers are exposed to more risks than the average bank, wealth manager or other regulated firms. This is because insurers support the economy by transferring the risks that we face...

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Has SM&CR made a difference?

Has SM&CR made a difference?

The Senior Managers & Certification Regime (SM&CR) for insurers took effect in December 2018. As part of the Solvency II regime, insurers were already subject to the Senior Insurance Managers Regime (SIMR) introduced in 2016. Despite that, there were some new...

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Discover the benefits of CASS audits

Discover the benefits of CASS audits

Whilst it is not the regulator’s objective to prevent firms from failing, where a firm does fail, the aim is to manage this in an orderly manner. Hence the basic capital resources requirement for all regulated firms. The regulator aims to avoid disorderly failure,...

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How to demonstrate control over Master Trusts

How to demonstrate control over Master Trusts

Master Trusts Under the Spotlight The UK’s Pension Schemes Act 2017 and Occupational Pension Schemes (Master Trusts) Regulations 2018 introduced the concept of a master trust. Under the legislation, firms had to identify whether their pension scheme fell within the...

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What is CMAR anyway?

What is CMAR anyway?

The purpose of the Client Assets Sourcebook (CASS) is to ensure that client money and assets are always protected. Importantly, all money and assets held for a client can be returned promptly, particularly if the firm should fail. Following the failure of investment...

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CASS Firms: Focus on Resilience

CASS Firms: Focus on Resilience

In 2020 the FCA issued three Dear CEO letters. The letters were a reminder to firms of the obligations relating to client assets and client money. FCA reminded firms of the importance of maintaining adequate measures to protect client money and assets in the current...

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