Mazhar Manzoor
Lead Consultant
B.Sc(Hons) FCA CeFA Chartered Accountant qualified at KPMG, Prince 2 Practitioner
29 years in Head of Compliance and/or Risk, Money Laundering Reporting Officer, CASS Oversight Officer and Project Manager/Subject Matter Expert, Director roles in Banks, Lenders, Investment Firms.
Programme managed several FCA Authorisation/Risk & Compliance Framework projects
Worked on MiFID project of biggest Japanese bank, Basel projects of BNP and Europe Arab Bank, Implementing Mortgages regulation at Butterfield Bank, vast Integration of HBOS at Lloyds Bank
Compliance Expert: Lead Industry training workshops as sole presenter on Financial Crime (Three 3 Day courses attended by MLROs of leading International Banks), CASS (Two 2 day courses attended by 80 FDs, COOs, CF10as), AIFMD. Panellist at industry conferences on AIFMD, Wealth Management, CIS.
CASS reviews at Rothschilds and at new custodian, implementing CASS at many firms
Nominated for “Best Compliance Monitoring” industry award. Was on British Bankers Assoc MiFID Group
Was on Editorial Board of Compliance Monitor. Wrote in Money Laundering Bulletin, Bloomberg, FT etc
Programme managed several FCA Authorisation/Risk & Compliance Framework projects
Worked on MiFID project of biggest Japanese bank, Basel projects of BNP and Europe Arab Bank, Implementing Mortgages regulation at Butterfield Bank, vast Integration of HBOS at Lloyds Bank
Compliance Expert: Lead Industry training workshops as sole presenter on Financial Crime (Three 3 Day courses attended by MLROs of leading International Banks), CASS (Two 2 day courses attended by 80 FDs, COOs, CF10as), AIFMD. Panellist at industry conferences on AIFMD, Wealth Management, CIS.
CASS reviews at Rothschilds and at new custodian, implementing CASS at many firms
Nominated for “Best Compliance Monitoring” industry award. Was on British Bankers Assoc MiFID Group
Was on Editorial Board of Compliance Monitor. Wrote in Money Laundering Bulletin, Bloomberg, FT etc
Total Partnership
FCA Compliance Consultants Limited helps organisations achieve FCA authorisation and maintain regulatory compliance.
We take responsibility for directing the authorisation process and ensuring you are presented in the best possible light to the FCA.
We work closely with you to understand the business and steer you through the process of submitting your application to the FCA and responding to any queries.
We also provide support, training and documentation to help you run your business compliantly once you are authorised.
We are a specialist regulatory compliance consultancy that adopts a long-term partnership approach.
Our clients benefit from having transparency over their compliance risks at all times and the comfort of a professional compliance partner to turn to as their businesses grow and develop.
In a demanding and challenging business environment, our diverse teams of experts are sharing deep knowledge and experience.
We take responsibility for directing the authorisation process and ensuring you are presented in the best possible light to the FCA.
We work closely with you to understand the business and steer you through the process of submitting your application to the FCA and responding to any queries.
We also provide support, training and documentation to help you run your business compliantly once you are authorised.
We are a specialist regulatory compliance consultancy that adopts a long-term partnership approach.
Our clients benefit from having transparency over their compliance risks at all times and the comfort of a professional compliance partner to turn to as their businesses grow and develop.
In a demanding and challenging business environment, our diverse teams of experts are sharing deep knowledge and experience.
We provide a range of services to meet your increasingly complex needs:
- FCA authorisations and regulatory compliance for wholesale and retail firms
- Compliance or financial crime healthchecks/audit
- Compliance training
- Compliance support and advice
- Compliance outsourcing
- FCA returns
- Risk management and governance including production of ICAAP
- Recruitment of key staff
- Regulatory change management
Survival of the Fittest
Financial services businesses are simultaneously facing mounting cost pressures and increases in risk largely as a result of the increased burden of compliance and many will not survive. Difficult times call for imaginative solutions and we offer a flexible range of options to enable your business to survive and thrive in this environment. Our services cover:
- Establishing compliance procedures and documentation for Start-ups
- Supplementing compliance officers who lack compliance qualifications or overstretched compliance departments with a range of flexible and cost-effective options tailored to your requirements and areas of greatest risk
- Developing KYC, training, reporting and other procedures/ documentation to address the new risks posed by the significant increase in the scope of money laundering offences introduced by the 3rd Money Laundering Directive, Money Laundering Regulations 2007 and the most recent release of the JMLSG Guidance Notes
- Strategic Compliance covering areas such as project management of the launch of more innovative products and structures or new products in entirely new jurisdictions
- Obtaining FCA or Overseas Licences, Passports, VoPs, Acquisition approvals
- FCA Compliance Solutions: Preparing for FCA visits, ICAAP, FCA Returns, Compliance manuals, Health Checks, Outsourcing support, Advisory, Complaints & Promotion support
- Projects: Implementing MiFID II/ Basel III/ EMIR/ CASS changes/Risk Frameworks
- AML Expertise
- Executive Recruitment Specialists
- Skills Enhancement/ Training