David Ogden

Expert Network

During his career, David has held senior roles in Compliance and Risk departments, including holding FCA registered positions for those functions for over 20 years.

David supports wealth and advice firms with guidance on how to prepare for and implement regulatory change, to complete remediation of breaches and failings, and has helped executive teams resolve challenges, putting in place improved procedures to avoid future problems and loss of customer trust.

David has led many regulatory projects including Treating Customers Fairly, RDR, MiFID (1&2) and Consumer Duty.  He emphasises the impact on, and practical requirements for, individual businesses  working with staff and management at all levels to identify practical solutions to their specific challenges.

David is a Chartered Fellow of the Chartered Institute for Securities & Investment.