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Conduct Risk: It's Not What You Do, It's WHY You Do It Paperback – December 5, 2014
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About the Author
Lee Werrell is a compliance professional with over 26 years’ experience in the financial services industry, including roles at board and senior executive level for a bank, distribution channels including a major IFA. Lee has also advised numerous businesses on Financial Services Authority regulatory issues and developments including how to modify and adapt their strategy and procedures accordingly. Specifically working in remedial actions and new banking applications, as well as audit and risk management, the variety and challenge of the changing regulatory landscape keeps him busy. Author of many technical and personal development books, a simple search on Amazon or Smashwords will provide access to his material. Although the “Compliance Manager’s Guidebook & Reference” EBook has been selling well, this has recently been published as a paperback and has proven to be a popular reference source for Compliance Officer’s and Manager’s alike. With a range of expertise provided to FTSE 100 institutions and a variety of banks and retail operations, working with governance, risk and compliance functions and has been appointed as a skilled person by the FSA in 2012, the UK's previous regulator (now superseded by the FCA). Lee is Chartered Fellow of the Chartered Institute for Securities & Investment (holder of the Diploma in Investment Compliance) and one of the first members of the CISI to achieve chartered status. Additionally he is a Fellow of the Institute for Sales & Marketing Management. He is also a public speaker and talks on compliance and regulatory related issues as well as Social Media within Financial Services.
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Top customer reviews
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The performance approach of seeing Conduct Risk as straddling conformance and performance, (two sides of the same coin), is clearly illustrated and the book is well structured with each chapter’s themes clearly highlighted. Additional practical use cases and examples abound, with easy to follow definitions and descriptions.
At a time when rapid change in Financial Services and other industries is, upon every quarter, seen as the "new normal", this books serves as a reference for the Conduct Risk professional as well as those who require slightly more than a passing interest in this now in high demand subject area.