Adam Evans
Wenvoe,Vale of Glamorgab
Summary
Accomplished financial services professional with expert understanding of the FCA handbook, regulatory reporting requirements, regulatory change management and overall governance, risk and compliance requirements. Able to quickly understand complex ideas and industry challenges to provide timely, pragmatic and accurate advice. Excellent communication skills and a proven track record of working with multiple stakeholders across first, second and third line functions, as well as senior forums. Flourishes in fast paced working environments and relishes the challenge of meeting tight deadlines whilst maintaining excellent attention to detail.
Overview
11
11
years of professional experience
Work History
Senior FCA Policy, Change and Interaction Manager
Howden Broking Group
London, City of London
11.2023 - Current
- Managing 10 compliance professionals across Policy, regulatory change, and FCA Interaction teams.
- Drafting and developing UK Broking policies. Successfully rolling out policies and training to over 40 regulated entities.
- Establishing minimum standards which align which FCA handbook.
- Summarising and tracking regulatory developments through to implementation. Recent examples include Consumer Duty Board Report templates, Non-financial misconduct and Product Governance Good Practice and Areas for Improvement.
- Managing FCA correspondence and interaction with UK regulated businesses, involving the successful closure of FCA reviews in to MOBI and Product Governance.
- Senior stakeholder management including direct engagement with Chief Compliance Officers, Chief Risk Officers and Divisional CEOs.
- Led performance reviews, identified areas for improvement.
- Supervised project timelines for timely completion.
- Facilitated and monitored staff training completion levels, resulting in better team performance, knowledge and understanding of FCA rules.
Senior Board Engagement Manager
Admiral Group
Cardiff, Cardiff
08.2021 - 11.2023
- Responsibility for Group Board and Board Committee engagement with key strategic projects.
- Delivery of bespoke training to Board and Committee members to ensure knowledge and understanding of Board paper material content ahead of meetings.
- Responsible for drafting and communicating key messages on the development and progress of the Group internal model to the PRA.
Senior Compliance Monitoring Manager
EUI Ltd (Admiral UK)
Cardiff, Cardiff
11.2020 - 08.2021
- Chair of the Assurance Working Group which reported to the Risk Management Committee.
- Member of the Conduct Risk Working Group.
- Designed and implemented the annual compliance monitoring plan.
- Through compliance monitoring outcomes, the team and I helped identify good practice and areas of improvement. This involved making recommendations and amendments to existing processes to enhance compliance levels.
- Designed risk assessment models for improved compliance.
- Optimised reporting procedures for increased transparency in operations.
- Collaborated with management, ensuring alignment on policy interpretation and application.
Regulatory Manager
Admiral group
Cardiff, Cardiff
03.2020 - 11.2020
- Supported business development and structures by providing expert advice on compliance matters relating to SMCR, and the roles and responsibilities of senior managers and certified staff.
- Ensured compliance with industry regulations by developing and a thorough review of company policies (SMCR).
- Managed fixed portfolio supervision and interaction with the FCA and PRA.
- Proactively participated in industry forums and discussions gaining insights into future legal trends.
Regulatory Change Manager
Admiral Group
Cardiff, Cardiff
09.2018 - 03.2020
- Responsible for horizon scanning updates, gap analysis, and periodic reports to senior managers and committees covering FCA regulatory rules and change requirements.
- SteerCo member for various regulatory change initiatives providing second line oversight and challenge.
- Managed stakeholder expectations, maintaining strong relationships during periods of significant change.
- Fostered an open communication environment, encouraging employee feedback during periods of change.
- Enhanced team morale during challenging transition phases with regular engagement activities.
- Coordinated with various departments for streamlined process changes.
- Delivered presentations to senior leadership, providing updates on progress of change initiatives.
- Designed project communications, enhancing understanding and acceptance of key changes.
Trainee solicitor
Ince & Co
London, London
08.2016 - 09.2018
- Stayed abreast of current laws and legislations through regular training sessions.
- Gained proficiency in using modern software tools for effective case management.
- Supported the team by managing a vast portfolio of cases effectively.
- Filed necessary paperwork on time to meet tight deadlines efficiently.
- Four 6-monthly placements within the Family and Matrimonial, Commercial Property and Regulatory Solutions departments.
- Developed a specialism in compliance advice relating to risk management, governance, defence to regulatory investigations, COCON, ICOBS and SYST.
- Appointed skilled person under S166 skilled person notice for GFSC and JFSC.
Regulatory compliance officer
Ince & Co.
Cardiff, Vale of Glamorgan
09.2014 - 08.2016
- Experience in frontline risk management and the development of compliance policies and procedures.
- Drafting and developing financial crime risk management framework.
- Submitting Suspicious Activity Reports to the NCA and liaising with the Action Fraud task force.
- Drafting and delivery of compliance training on company policies and compliance procedures.
- Responsibility for due diligence workstreams within the M&A working group.
- Monitoring of compliance KRIs and reporting the the Group Risk Committee.
Education
Bachelor of Science - Sociology and Criminology
Cardiff University
Cardiff 09.2007 - 06.2010
Graduate Diploma in Law - Law
University of Wales
Cardiff 09.2010 - 06.2011
Legal Practice Certificate - Law
Cardiff University
Cardiff 09.2011 - 06.2013
Postgraduate Certificate in Sustainable Leadership - Business Management
Cardiff Metropolitan University
Cardiff 10.2019 - 07.2020
London Market Insurance Essentials
Chartered Insurance Institute
01.2025 -
Skills
- Expert knowledge of FCA handbook
- Regulatory Reporting
- Compliance monitoring
- Policy development and implementation
- Effective communicator
- Board presentation
- Strategic planning
- Mentoring and coaching
Affiliations
- Swimming, mountain biking and running after my three children
Languages
English
Native
Welsh
Native
Timeline
London Market Insurance Essentials
Chartered Insurance Institute
01.2025 -
Senior FCA Policy, Change and Interaction Manager
Howden Broking Group
11.2023 - Current
Senior Board Engagement Manager
Admiral Group
08.2021 - 11.2023
Senior Compliance Monitoring Manager
EUI Ltd (Admiral UK)
11.2020 - 08.2021
Regulatory Manager
Admiral group
03.2020 - 11.2020
Postgraduate Certificate in Sustainable Leadership - Business Management
Cardiff Metropolitan University
10.2019 - 07.2020
Regulatory Change Manager
Admiral Group
09.2018 - 03.2020
Trainee solicitor
Ince & Co
08.2016 - 09.2018
Regulatory compliance officer
Ince & Co.
09.2014 - 08.2016
Legal Practice Certificate - Law
Cardiff University
09.2011 - 06.2013
Graduate Diploma in Law - Law
University of Wales
09.2010 - 06.2011
Bachelor of Science - Sociology and Criminology
Cardiff University
09.2007 - 06.2010
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