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.

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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.

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Building Resilient Third Party Chains

governance, third parties, oversight, operational resilience, data sharing, outsourcing, EBA

Both the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) require firms to identify and manage their risks. Over the years we’ve seen both regulators focus on outsourced and third party arrangements. Current efforts to build a more...

FMIs, Get set for SM&CR

accountability, SM&CR, certification, conduct rules

HM Treasury issued a consultation earlier in July. The proposals signal HMT’s intention to extend the Senior Managers & Certification Regime (SM&CR) to include Financial Market Infrastructures (FMIs). Interested parties should submit their responses by 22 October 2021....

Operational Resilience – Is Outsourcing on your Radar?

governance, third parties, oversight, risk management, operational resilience, SM&CR, outsourcing

With the publication of final policy statements there is a clear message that firms must look externally at third party relationships as part of their Operational Resilience framework. The requirements are designed to promote stronger and more effective governance of...

Regulatory Strategy: What’s the plan?

FCA, RegTech, Regulatory initiative grid, regulatory strategy, FRF

J uly 2021 The Financial Services Future Regulatory Framework (FRF) Review was launched by the HMT in 2019. Its purpose was to consider the longer term strategy for the financial services (FS) sector and create a framework for life after the EU. Phased Approach:...

RegTech: Why does it matter?

FCA, RegTech, innovation, HKMA, EBA

July 2021 RegTech seems to be on everyone’s lips these days, but can it really help financial services? The regulators seem to think so. UK’s view of RegTech There has been a steady increase in regulatory focus on technology and innovation. We see the regulators...

An Overview of Operational Resilience

governance, third parties, oversight, operational resilience, audit trail, outsourcing

Operational Resilience has been a hot topic in the UK for a number of years and has gathered momentum recently as the supervisory bodies issued final requirements and firms now prepare for implementation by March 2022. In 2017, Charlotte Gerken, then Director of...

UK Financial Services Regulatory Initiatives Forum

FCA, Regulatory initiative grid, regulatory strategy

The FS Regulatory Initiatives Forum was created to coordinate efforts of its members. By sharing information and reviewing the timing of regulatory initiatives consideration is given to the impact of implementation for firms. The Forum held its inaugural meeting in...

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