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Sam advises financial institutions on regulatory and compliance matters, including board effectiveness reviews and preparation for regulatory reviews and meetings; regulatory enforcement activity; reviews of risk management, compliance and internal audit; and regulatory training. Sam works with a wide range of financial institutions, including those facing regulatory and strategic issues and those wishing to enhance their governance and control frameworks. She routinely works at board and executive levels providing strategic and one-to-one advice.
Sam is a seasoned former regulator with experience in enforcement and supervision. During 20 years with the U.K.’s Financial Services Authority and its predecessor agencies, she worked in regulatory roles overseeing investment firms, retail banks, investment banks, and insurance groups. Immediately before joining Promontory, Sam was responsible for the department that supervised the largest retail insurance groups. She joined IG Group’s board as a nonexecutive director in 2013.
- B.S., Roehampton Institute, London
- Prepared major banks and insurers for ARROW and business model reviews by the Financial Services Authority.
- Assisted a bank in substantially enhancing its financial promotions compliance.
- Advised clients facing regulatory enforcement activity.
- Reviewed compliance effectiveness for a major bank.
- Conducted board effectiveness reviews for banks and insurers.
- Designed and delivered numerous face-to-face and computer-based training programs for major financial institutions in a range of technical areas.