Diane Cook
Head of Compliance Advisory - John Lewis Finance @John Lewis & Partners
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WORK HISTORY
Head of Compliance Advisory - John Lewis Finance @John Lewis & Partners
London, GB
Built FS compliance advisory and oversight function covering credit, insurance, investments and FX products.• Led regulatory transformation programme, including FCA engagement and regulatory authorisation process. • Spearheaded the design and execution of compliance frameworks in line with FCA regulation, including implementation of SMCR and appointed representative (AR) frameworks. Developed strategies to mitigate compliance risks and advised on implementation of appropriate controls.• Responsible for compliance reporting to Executive team, Audit & Risk Committee and Board, providing expert advice to ensure the business meets its regulatory obligations.• Built in-house compliance team, recruiting, onboarding and embedding 8 senior compliance professionals.• Led the successful implementation of Consumer Duty requirements, including framework and governance, MI suite and outcome monitoring as well as training. • Ensured notifications and regulatory reporting requirements are met.
EDUCATION
College of Law, Guildford
Legal Practice Course
University of Kent at Canterbury
LLB (Hons) Law
University of Kent at Canterbury
Master of Laws (LLM), International Commercial Law
Universite Montesquieu Bordeaux IV
Maitrise, European and Comparative Law
ABOUT DIANE COOK
Senior risk and compliance leader, with over 12 years\' experience in financial services, gained at FTSE 250 and other public listed companies. Experience spans across regulatory compliance, consumer protection, risk management and conduct. Qualified lawyer, with strong competition law background gained at Freshfields over 8 years, providing inherent skills in risk assessments, regulatory interpretation and strategic thinking. Proven track record of leading large scale regulatory transformation programmes, including leading FCA authorisation process, SMCR and Consumer Duty implementation, and building effective first line and second line risk, compliance and governance frameworks. Significant experience advising executive management and Board Risk Committees on legal and compliance related matters and working with them to embed conduct culture.
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