• Working with us

     

    What we do, and how we do it

     

    We are a compliance consultancy offering hands-on support and specialist advice to financial services firms on the regulatory issues affecting them. We cover all areas of FCA and European regulation that have an impact in the UK, and provide support to our clients the full range of compliance topics.

    As a team, we're united because:

    • We all prize relationships with our clients; our best work is done in real partnership, and we love to see our clients succeed
    • We share a vision that professional advice should be tailored to our client's businesses and that we add maximum value when we combine our compliance expertise with our understanding of clients' businesses and their sectors
    • We see the potential for financial services to make a real impact and we love to support impact, entrepreneurship and innovation. The energy, purpose and vibrancy of sectors like crowdfunding, social impact investing, and Enterprise Investment Schemes (EIS) really makes us tick
    • We also believe in using our business for good, and share this passion with our colleagues across Bates Wells Braithwaite (BWB), the wider firm of which we're a part.

    Below you can find out more about our approach to our work, our team, how we fit in to the wider firm, BWB.

     

    Or you can jump to see our expertise page to see more about what sectors we work with, our client feedback and how we go about supporting industry.

  • Compliance, the BWB way

    What drives our approach?

    Relationships

    Nothing is more important to us than client experience. We strive to ensure that our services add value to your business.

    Solutions

    We love using our technical knowledge to bring clients’ ideas to life and to find the answer to real challenges.

    Responsiveness

    Business moves fast and we understand that the timing of our support can make all the difference in critical moments.

    Insight

    We know advice is at its most valuable when it factors in the direction of regulatory travel as well as the rule book.

    Value

    Our support focuses on areas of real impact or need and we manage our service to be as cost effective as possible.

  • Our team

    Gillian Roche-Saunders

    Partner & Head of BWB Compliance

    Gillian is an experienced regulatory expert and specialises in advising alternative finance firms. She has worked with a wide range of alternative finance platforms (crowdfunding, peer-to-peer lending) as well venture capital investors and FinTech firms more broadly.

     

    Gillian is a Director of the EIS Association and chairs its regulatory committee. She also provides regulatory support to the UK Crowdfunding Association. Gillian won Best Compliance Consultant for Regulatory Strategy at the Compliance Register Awards 2015.

    Click here to view her full profile.

     

    g.roche-saunders@bwbllp.com

    0207 551 7876

    Richard Cross

    Senior Compliance Consultant

    Richard has extensive experience of providing compliance advice to financial services firms. He leads our work with our Private Equity clients and is the technical lead on a range of our projects including, at present, MiIFD II and SMCR projects.

     

      Richard specialises in UK and European regulation and regularly advises clients as to whether they require FCA authorisation to carry on their proposed activities.

     

    Before joining, Richard was a Managing Consultant at Bovill and prior to that a compliance consultant at Judicium. He holds an LLB (Hons) Law Degree and the CISI Diploma in Investment Compliance.

     

    r.cross@bwbllp.com

    0207 551 7751

    Azariah Nukajam

    Compliance Consultant

    Azariah runs many of our authorisation projects and compliance framework as well as providing support to our retainer clients. She joined BWB from the Financial Ombudsman Service where she was a Specialist Investments Adjudicator, involved in a range of investigations about firm’s compliance.

     

    She provides regulatory support to a range fund managers and FinTech clients, assisting with everything from complaints handling, and preparation for MiFID II, PRIIPS and SMRC. Azariah has a master from UCL in International Commercial Law and is currently studying for the CISI Diploma in Investment Compliance.

     

    a.nukajam@bwbllp.com

    0207 551 7907

    Alethea Nugent

    Senior Compliance Consultant

    Alethea is an experienced regulatory expert who has supported a wide range of firms through regulatory change. She is the lead consultant on a number of our compliance projects and is particularly skilled at helping firms adapt to new regulatory regimes.

     

    Alethea was most recently the technical regulatory adviser to a French asset manager in relation to their implementation of MiFID II. She holds the UK SIP Investment Management Certificate, has a BA (Hons) in Economics from the University of Kent and a Post Graduate Certificate in Sustainability for Business from the University of Cambridge.

     

    a.nugent@bwbllp.com

    0207 551 7884

    Rebecca Claydon

    Compliance Consultant

    Rebecca is a skilled consultant providing practical advice and support to our clients. Her particular expertise is in helping social enterprise, not for profits and mission-led business to navigate the regulatory regime, whether it is new firms becoming authorised or established firms trying to adapt to changes in regulation.

     

    Before joining, Rebecca was the Compliance Advisor to Fair Finance, Numbers for Good among other mission-led businesses. She has a MSc in Global Ethics and an BSc in Physics from the University of Birmingham.

     

    r.claydon@bwbllp.com

    0207 551 7709

  • Bates Wells Braithwaite

    A firm that prizes innovation, impact and values

    Bates Wells Braithwaite is a professional services firm combining a top legal practice with specialist consultancies. BWB was founded in 1970 by Andrew Phillips (Lord Phillips of Sudbury) and has expanded to over 250 staff and 37 partners, all based out of our City office.

     

     

     

     

    BWB Compliance was the second consultancy to join the firm. In 2014, the firm became an Alternative Business Structure (ABS) and welcomed Jim Clifford's Advisory and Impact team from Baker Tilly, specialists in impact measurement, outcomes-based planning and strategy.
     
    Our legal practice has a range of disciplines including corporate, commercial, charity, social enterprise, real estate, employment, competition, immigration and dispute resolution.

     

     

    We are proud to be a B Corparation: a for-profit company certified as meeting rigorous standards of social and environmental performance, accountability, and transparency.
     
    BWB has always had a strong ethos and this puts the value we place on our people, our community and the environment at the heart of our whole business.
     
    You can find our more about B Corps here.
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