Tom Whittaker

  • Anti-Money Laundering (AML)
  • Asset Management
  • Chartered Account, MBA
  • Governance Arrangements, Risk & Compliance
  • Life & General Insurance
  • Pensions
  • Stockbroking

A Chartered accountant, Tom has 30 years of experience in financial services holding executive positions at FTSE 100 companies. His CV covers Life, Pensions, Asset Management, Stock Broking and General Insurance, including 10 years at the Prudential Group as Head of Audit for Prudential UK & Europe, Head of Audit for M&G Investments and Chief Risk Officer for Prudential UK & Europe. He was previously Global Head of Audit of Willis Group, Chief Risk Officer for Charles Schwab Europe and Group Compliance Officer of HBOS Clerical Medical.

He has had significant experience working with Regulators in the UK, USA and Far East. This involved both Stockbroking and Insurance. The last ten years have consisted of active involvement in Asset Management and Insurance, much of it in the Far East.

As well as his significant in-depth experience of Financial Services regulation, Tom has been a leading player for major strategic initiatives including key involvement in change management, outsourcing, direct sales forces, asset management, dealing desks, pricing strategy of financial products, assisting FCA and PRA investigations, governance reviews, client money and capital adequacy reviews.