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Nicola Green | Bovill
In over ten years at Bovill, Nicky has helped clients with most areas of regulation including financial crime prevention, client categorisation and financial promotions. She’s also provided ongoing compliance support to a wide range of clients. Since 2016, she’s been focussing mostly on helping firms with client assets compliance as well as working on best execution and transaction reporting.
In heading up the client assets compliance offering within Bovill, Nicky has been instrumental in working on CASS S166 skilled person work, health checks and assurance projects. She has helped companies new to the CASS world build the control processes they need to ensure compliance and has also helped firms to improve their controls as part of remediation projects. Nicky runs the Bovill CASS roundtable and regularly produces thought leadership on CASS matters.
Before joining Bovill, Nicola was in the compliance team at Royal & SunAlliance and UISL. She has a degree in Quantitative Business Management and holds the CII Diploma of Insurance, FPC, ICA Diploma of Financial Crime Prevention (distinction), the ICA Specialist Certificates in Trade Finance and Correspondent Banking and the CISI Client Assets technical module.
With the CASS audit season being just around the corner for many investment firms, it’s worth exploring what you can do before and during your audit to ensure you get the right result delivered efficiently.