
PIMFA Compliance Conference 2025
London, EC2A 2EG United Kingdom
We are proud to announce that the PIMFA Compliance Conference 2025 will be taking place on September 25th 2025, in London AND online.
This event, now a regular fixture in the PIMFA calendar to highlight key issues raised across our working groups, is aimed at compliance professionals in the investment management and financial advice world. The event will bring together best in class sector speakers, and a high-level audience who can engage with the experts to facilitate fruitful discussions on the latest issues affecting our sector.
The agenda is currently under construction, but an indication of topics we are looking to explore are below:
– PIMFA review of the past year, and horizon scanning for the next
– The Regulator’s Perspective; key messages for PIMFA members from the FCA
– Hear from the Compliance Professionals – what is keeping them up at night?
– Connecting the dots on Cyber Security
– Operational Resilience – six months on, how are firms doing?
– Leveraging Artificial Intelligence to meet compliance challenges
– Ongoing Services Review; what it means for PIMFA members
– Consumer Duty; the landscape since implementation
– Customer Vulnerability; an update since publishing the guide
– The evolution of the ESG agenda
The Compliance Conference will be live-streamed on the day of the event and if joining virtually you will have the opportunity to ask questions live to speakers and panellists. Those attending in person will have the opportunity to network with fellow industry colleagues, speakers and sponsors. When booking your ticket please be sure to choose the correct option – IN-PERSON or VIRTUAL.
If you have any questions or have any interest in speaking or sponsoring this event please contact events@pimfa.co.uk to find out more.
Arrival & Registration
Welcome Remarks-A Review of the Past Year and Issues on the Horizon Over the Next 12 Months
Speakers
David Ostojitsch
David joined PIMFA in November 2022 as Government Relations and Policy Director. He is responsible for PIMFA’s relationships with governments and regulators and regulatory and supervisory policy.
Before joining PIMFA, David spent 16 years working across financial services change and policy, including four years as the Director of Technology and Operations at the Association of Financial Markets Europe (AFME). Earlier in his career, David worked at PwC in investment management and technology advisory.
Keynote: Key Messages for PIMFA Members
Speakers
Lucy Castledine
Lucy Castledine has worked at the FCA since 2008 across a variety of different roles. The majority of her career has been spent in Supervision, but she also has extensive experience of designing and implementing policy, having overseen the implementation of the Mortgage Market Review and the overhaul of the financial promotions rules for high-risk investments.
She also spent a year in Authorisations, as Head of Department for dual-regulated firms.
Currently, Lucy is the Director of Consumer Investments. This includes the Supervision of Advisers and Intermediaries, Wealth Managers, Self-invested personal pensions, Crowdfunders, Peer to peer and Platform Firms.
Lucy is also responsible for overseeing the policing of our perimeter for unauthorised business, ensuring we intervene assertively on misleading Financial Promotions.
Keynote: Update from the Ombudsman
Speakers
Andy Wright
Andy currently leads the Financial Ombudsman Service’s Directorate responsible for resolving complaints about pensions, investments and insurance. Previously, he led the service’s small business team.
Prior to joining the FOS, Andy worked for 15 years at the Competition and Markets Authority, in various roles including Director of Mergers and Director of Policy. Andy is a chartered accountant and, before moving into the public sector, he spent several years advising companies on mergers and acquisitions.
Presentation: Regulatory & Legal Update
Speakers
Clive Cunningham
Clive is a partner in HSFK’s Financial Services Regulatory advisory (non-contentious) team in London.
Clive specialises in financial services law and regulation. With over 30 years City experience, including time as a banking regulator with the Bank of England and in-house at Merrill Lynch (wealth management), Clive advises banks, investment managers, insurers, insurance brokers and other financial institutions on a wide range of regulatory and compliance matters. Areas of special sector expertise are banking, investment management and securities regulation; and governance.
Clive has been individually ranked in Legal 500 (Hall of Fame) and Chambers directories since 2007.
Comfort Break
Panel - Compliance Professionals; what is keeping you up at night?
Speakers
Richard Bernstein
Richard is Head of Compliance and MLRO at JM Finn.
He has over 20 years’ experience in Compliance & Risk roles starting his career at Barclays before working at F&C Asset Management, and Close Brothers Asset Management.
Prior to joining JM Finn, Richard was Chief Risk Officer at Kingswood Group.
He is a CFA Charterholder and a Chartered Fellow of the CISI. Richard is also Chair of the PIMFA Regulation Committee, and a member CISI Compliance Forum as well as the CISI Ethics and Integrity Committee. Outside of work, Richard is a trustee of the Printing Charity and Chair of their Investment Committee.
He is also a trustee at the Academy of Medical Royal Colleges and a Governor at Roding Valley High School. In his spare time, he suffers by way of being a season ticket holder at Leyton Orient.
Alexandra Roberts
Alex joined PIMFA in June 2017 as a Policy Adviser, where she works on a wide range of regulatory matters, engaging with policy makers and the regulator to promote members’ interests.
She previously worked for the Association of Professional Financial Advisers (APFA) in the same capacity. APFA merged with the Wealth Management Association (WMA) to form PIMFA.
Alex has a legal background, having studied law at Cambridge University and was called to the Bar in 1997. She was a tenant at Lamb Chambers, Temple where she specialised in personal injury claims, contractual disputes and professional negligence. Alex has experience of advisory, drafting and court work including appearances in the Court of Appeal, the High Court and county courts.
Sustainability - an update from the ASG
Speakers
Maja Erceg
Maja joined PIMFA as Senior Policy Adviser, EU and Government Affairs in November 2018. She is a former diplomat, public affairs and policy official with extensive experience of international, European and UK government and policy operations.
At PIMFA, Maja is responsible for developing policy and implementing the associated advocacy work with key EU and UK institutions, including the European Commission, Parliament, and Council, HMG, and the FCA, on a range of European and UK legislative and regulatory issues.
Prior to PIMFA, Maja worked at the City of London Corporation as an European Policy and European Regulation Adviser, focusing on Brexit related issues and on strengthening the dialogue between the UK-based financial and professional services industry, the UK government, regulatory authorities, EU institutions and Member States. While in the diplomatic service, Maja worked on numerous policy initiatives, engagement strategies and advocacy efforts, including Croatia’s negotiations for membership of the EU and NATO.
Maja was educated at the University of Zagreb, Croatia.
Panel - Operational Resilience - six months on, how are firms doing?
Speakers
Kevin Sloane
Kevin Sloane has worked in financial services for over 40 years. His areas of interest and expertise are wealth management operations and technology. Kevin is a Chartered Member of the Chartered Institute of Securities and Investment and is a member of the CISI’s Wealth Management Forum Committee.
Networking Lunch
Presentation- Cyber Security/Connecting the dots
Speakers
Simon Harrington
Simon joined PIMFA in November 2017 as a Senior Policy Adviser with a focus on public policy and long term savings. He has previously worked at the National Employment Savings Trust (NEST) and the Treasury in a variety of roles working on a number of issues including automatic enrolment, pension freedoms and the UK’s response to the financial crisis.
Simon has a strong interest in long term savings issues with a particular focus on overcoming behavioural barriers and the support structures that can be put in place in order to help and encourage a thriving savings culture in the UK.
Panel- Leveraging Artificial Intelligence to meet your compliance challenges
Comfort Break
Panel – Ongoing Services
Speakers
Simon Harrington
Simon joined PIMFA in November 2017 as a Senior Policy Adviser with a focus on public policy and long term savings. He has previously worked at the National Employment Savings Trust (NEST) and the Treasury in a variety of roles working on a number of issues including automatic enrolment, pension freedoms and the UK’s response to the financial crisis.
Simon has a strong interest in long term savings issues with a particular focus on overcoming behavioural barriers and the support structures that can be put in place in order to help and encourage a thriving savings culture in the UK.
Presentation – Consumer Duty
Panel - Customer Vulnerability
Speakers
Alexandra Roberts
Alex joined PIMFA in June 2017 as a Policy Adviser, where she works on a wide range of regulatory matters, engaging with policy makers and the regulator to promote members’ interests.
She previously worked for the Association of Professional Financial Advisers (APFA) in the same capacity. APFA merged with the Wealth Management Association (WMA) to form PIMFA.
Alex has a legal background, having studied law at Cambridge University and was called to the Bar in 1997. She was a tenant at Lamb Chambers, Temple where she specialised in personal injury claims, contractual disputes and professional negligence. Alex has experience of advisory, drafting and court work including appearances in the Court of Appeal, the High Court and county courts.
Rebecca Odlin
Rebecca is a Senior Manager in Risk and Compliance at Kingswood, where she leads advisory support for the Discretionary Fund Management (DFM) business.
She has played a key role in the firm-wide implementation of the Consumer Duty, including leading initiatives focused on clients with vulnerabilities.
Rebecca has been with Kingswood for nearly three years, following previous roles in compliance monitoring at Deutsche Bank and Marex Financial.
Jo Lewis
Jo has a rich background in both education and financial services. Initially working with neurodivergent and trauma-affected children, she developed strong empathy and support skills.
Transitioning to financial services five years ago, Jo began at Fidelity's contact centre and quickly advanced to the Vulnerable Customer Team three years ago.
In this role, Jo has been focused on developing and implementing processes that support vulnerable clients, efforts that have been recognized and awarded within the industry.
Alongside her work as a mental health first aider and grief first aider, Jo brings a compassionate approach to her work, consistently striving to make a positive impact.
Dr Christopher Fitch is Vulnerability Lead at the Money Advice Trust and a Research Fellow at the Personal Finance Research Centre (University of Bristol).
Chris is a Fellow of the Royal Society for Public Health and has a PhD from the Institute of Psychiatry, Psychology, and Neuroscience at King’s College London. Since 2007, Chris has led a programme of guidance, research, training, and intervention on vulnerability.
This programme has involved improving practice in more than 500 firms, over 60,000 staff, and across the financial and essential service sectors.
Chris has also co-created industry-wide tools for working with vulnerable customers such as TEXAS, IDEA, and BRUCE (see: www.vulnerability.training for resources), has co-founded award-winning Vulnerability Academies with UK Finance (for firms) and the UK Regulators’ Network (for regulators), and is also host of the long-running Vulnerability Matters podcast series (see: https://soundcloud.com/vulnerability-matters).
Chris also undertook the first systematic UK large-scale research studies on the response of staff in debt collection firms to vulnerable consumers, and on consumer credit staff interactions with vulnerable customers.
Previously Chris was a Research Fellow and Head of Policy at the Royal College of Psychiatrists where he led research programmes and national mental health policy development. And prior to this a Researcher at Imperial College Medical School, Chris worked on international WHO and United Nations research studies and public health projects in the areas of drug injecting, sex work, and HIV and STD prevention.
Summary & Closing Remarks
Speakers
Alexandra Roberts
Alex joined PIMFA in June 2017 as a Policy Adviser, where she works on a wide range of regulatory matters, engaging with policy makers and the regulator to promote members’ interests.
She previously worked for the Association of Professional Financial Advisers (APFA) in the same capacity. APFA merged with the Wealth Management Association (WMA) to form PIMFA.
Alex has a legal background, having studied law at Cambridge University and was called to the Bar in 1997. She was a tenant at Lamb Chambers, Temple where she specialised in personal injury claims, contractual disputes and professional negligence. Alex has experience of advisory, drafting and court work including appearances in the Court of Appeal, the High Court and county courts.