Speakers:

Rishabh Bhandari, EMEA Chief Securities & Regulatory Counsel, Wells Fargo

Rishabh Bhandari is EMEA Chief Securities & Regulatory Counsel at Wells Fargo. He manages an EMEA legal team covering global markets, investment banking and regulatory matters. He has diverse product expertise that includes cash securities, derivatives and capital markets offerings. This is aligned with his regulatory expertise covering cross-border issues, conduct and supervisory matters. He is a regular participant in industry groups. Prior to joining Wells Fargo, Rishabh was a lawyer in Clifford Chance LLP’s financial markets practice in London.

Ben Wulwik, Head of Legal & Transaction Management, OakNorth Bank

Ben Wulwik is the Head of the award-winning Legal and Transaction Management at OakNorth Bank, where he leads the legal team and has collectively helped the bank transact over £4bn of SME lending since its launch in September 2015. He joined the bank in March 2016 after six years at Reed Smith LLP in the banking and finance team. Prior to this, he was at Addleshaw Goddard for almost three years where he undertook his training contract and did a nine-month secondment to Diageo in Cape Town. He has been featured in Thompson Reuters’ London Super Lawyers and on Rising Stars several times.

Liz Alley, Head of Financial Planning Operations, Divisional Director, Brewin Dolphin

Liz Alley, Head of Financial Planning Operations. I am responsible for the operating model and client journey for the Financial Planning department of Brewin Dolphin. This mainly centres around optimising the client experience together with the efficient and timely delivery of advice. I have worked as both a Financial Planner and in FP operations throughout my career, and this gives me an often unique viewpoint of the client journey which has helped me develop a number of differing advice offerings since the RDR. Ultimately I would like to see financial advice become accessible and valued by all areas of society.

Craig Chaplin, Commercial Director, DWF Mindcrest

Craig is the national head of DWF’s Commercial and Intellectual Property team. He is also a process-driven control freak who exhibits a nerdy enthusiasm when talking about lean six sigma process efficiencies and managed services. He has considerable expertise in non-contentious contract and tech law and advises a diverse cross-section of clients in several sectors on their business projects. Craig’s expertise extends to advising in house teams on how they can deliver efficiencies using process, people, technology and tools.

Andrew Jacobs, Partner & Head of Regulatory Consulting, DWF

Andrew has been a regulatory professional for 20 years, working across many different areas of financial services. Andrew has been a partner at two top ten professional services firms, providing regulatory expertise to clients in the UK and internationally. He also held board positions at several firms, where he was responsible for Compliance, Risk and AML. Andrew is a strong generalist having led FCA Skilled Person reviews, Due Diligence reviews, Advisory Projects and Internal Audits. He provides advice to a range of different financial institutions and firms subject to financial regulation in multiple jurisdictions, including currently in Australia and Singapore. He continues to lead projects and provide thought leadership in the areas of the UK Senior Managers and Certification Regime (SM&CR), Market Abuse, the Fourth and Fifth Money Laundering Directives, MiFID II, the Insurance Distribution Directive (IDD), Product Interventions changes, Brexit and global considerations in respect of Conduct & Accountability.

This free to watch webinar was part of The Lawyer’s In-house Financial Services conference that took place between 29 – 30 June 2021.

For more information on the summit, a copy of the agenda, or to register interest for 2022, please visit the event website.