• GL
Choose your location?
  • Global Global
  • Australia
  • France
  • Germany
  • Ireland
  • Italy
  • Poland
  • Qatar
  • Spain
  • UAE
  • UK

James Kelly

Associate Director, London

James is an Associate Director in DWF's financial services regulatory consulting team. James has over 18 years’ experience in Financial Services; the last 12 spent in compliance advisory, assurance and audit, advising firms about regulation and conduct issues. 
Large people placeholder


James is an experienced financial services regulatory professional with strong regulatory knowledge and understanding and excellent stakeholder management skills. 

James's recent focus has been working across consumer credit, wealth management and banking, supporting firms in areas including conduct risk, governance and controls, SM&CR and financial crime. 

Recent experience includes:  

  • Managing client engagements including FCA skilled person’s review, audit and regulatory assurance, including liaising with the FCA supervisory units
  • Managing multiple corporate governance reviews on behalf of solo-regulated firms
  • Reviewing and advising on enhancements to compliance frameworks for wealth management firms and brokers to ensure they reflect any regulatory changes and are proportionate to the firm's business risks
  • Providing training workshops on effective financial crime risk assessment methodologies
  • Prepping and conducting mock interviews for senior management staff in preparation for FCA interviews
  • Coordinating and delivering industry events on key regulatory change and best practice guidance
  • Designing a new business verification framework for a global bank 
  • Leading reviews of conduct risk framework design and implementation across the front office and back office teams  
  • Conducting Product Reviews, focusing on assessing compliance with regulatory requirements and fair treatment of customers
  • Review design and implementation of control frameworks, first line quality assurance and monitoring programmes.  


We use cookies to give you the best user experience on our website. Please let us know if you accept our use of cookies.

Manage cookies

Your Privacy

When you visit any web site, it may store or retrieve information on your browser, mostly in the form of cookies. We mainly use this information to ensure the site works as you expect it to, and to learn how we can improve the experience in the future. The information does not usually directly identify you, but it can give you a more personalised web experience.
Because we respect your right to privacy, you can choose not to allow some types of cookies. Click on the different category headings to find out more and change permissions. However, blocking some types of cookies may prevent certain site functionality from working as expected

Functional cookies


These cookies let you use the website and are required for the website to function as expected.

These cookies are required

Tracking cookies

Anonymous cookies that help us understand the performance of our website and how we can improve the website experience for our users. Some of these may be set by third parties we trust, such as Google Analytics.

They may also be used to personalise your experience on our website by remembering your preferences and settings.

Marketing cookies

These cookies are used to improve and personalise your experience with our brands. We may use these cookies to show adverts for our products, or measure the performance of our adverts.