Katie Wise Manager - Regulatory Compliance

Katie predominantly manages client projects and advisory work relating to Financial Conduct Authority (FCA) regulation across retail banking and insurance sectors. Katie's specialist area of expertise is the Consumer Duty.

Experience 

Prior to joining Forvis Mazars, Katie spent her career at the FCA, primarily within retail banking supervision. This experience has provided Katie with a strong basis for the practical application of regulations to our clients and a sense of what 'good looks like' across the Senior Manager and Certification Regime (SM&CR), governance frameworks and the treatment of customers with vulnerable characteristics. 

She is particularly skilled in the design and development of management information and reporting frameworks to meet the Consumer Duty requirements.

Work Highlights

Katie particularly enjoys meeting and working with her clients in person and has had the pleasure of doing so across a number of client projects during her time at Forvis Mazars.

A stand-out experience included a four-month secondment to the compliance function of an international insurer to lead the design and delivery of the Consumer Duty outcomes monitoring framework and reporting process, including the annual Board Report. 

Katie also enjoys designing and delivering Consumer Duty and SM&CR training workshops to Senior Management and Boards.