What the FCA Expects From Your Finance Function
The FCA’s supervisory engagement with smaller regulated firms — wealth managers, DFMs, boutique investment firms, insurance intermediaries — is not the dramatic event the word ‘investigation’ implies. Most FC-level FCA contact is routine, bureaucratic and entirely manageable. But it is not something the FC at …
Wealth Manager FC vs Commercial FC
Ask most finance professionals to describe the Financial Controller role and they will give you a broadly consistent answer: month-end close, management accounts, board pack, audit relationship, cash management. That answer is accurate. It is also completely inadequate preparation for the FC role at a …
