Financial Services Compliance and Regulation
Local and global compliance expertise for the financial services industry.
Claire Simm joined Kroll (Duff & Phelps rebranded as Kroll in 2021) in January 2015 from Kinetic Partners. She is a managing director in the Financial Services Compliance and Regulation practice, based in the London office.
Claire has performed a number of Section 166 appointments including Suitability, CASS, SYSC and Governance and oversight and has considerable experience of the wealth management sector ranging from small firms through to listed entities. she has a detailed understanding of the regulatory requirements with a particular focus on COBS and SYSC.
Claire has been involved in a number of complex large-scale due diligence projects over the last two years. She has worked closely with Private Equity houses undertaking regulatory due diligence across financial services including wealth managers and trust companies. She has significant experience of interviewing senior management and Board members and undertaking operations and compliance process reviews as well as in-depth file reviews. Claire also undertakes operational due diligence for fund management clients on potential investment opportunities in both the U.S. and the UK.
Claire started her career as an auditor at Ernst and Young where she spent over 4 years working in financial services, specializing in large investment banks and asset managers. Her experience includes comprehensive reviews of business processes, procedures and controls as well as financial analysis and reporting. She has worked closely with her clients’ internal audit departments and control teams and is experienced at presenting findings to senior management and Board members.
Claire is a Chartered Accountant of the Institute of Chartered Accountants of Scotland (ICAS).