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  • Sheila Heap

    Sheila Heap
    Consultant, Financial Services Regulation , London

    Banking & finance, Regulatory solutions for the financial services sector

    T. +44 987456321
    D. +44 2075128692
    SheilaHeap@incegd.com

Sheila specialises in financial services regulation. She has 40 years’ experience working in the financial services industry, including multiple areas of banking, investment management, stockbroking and financial advice. Sheila has a wide, comprehensive and practical understanding of the financial markets and products, as well as the needs of a business operating in a regulatory environment. Her clients include investment banks, wealth management firms, stockbrokers and City law firms.

Sheila’s experience in various roles brings together a unique combination of financial, legal and training skills. This enables her to provide regulatory advice, training and other support underpinned by an in depth practical understanding of the industry, its structure and products. Her clients find this combination of industry understanding and technical regulatory skills extremely helpful in transposing regulatory requirements into practical solutions.

Highlight Matters

  • Worked for 26 years for Barclays Bank Plc in various roles giving her wide exposure to banking.  This included:
  • Three years working for the legal team
  • Six years working as a technical training manager for Barclays Personal Investment Management with responsibility for training investment managers including professional qualifications, regulatory training and working closely with the compliance function to ensure regulatory developments transposed into ongoing compliance
  • Sheila has since worked as a freelance consultant with many firms in the City of London, focusing on delivering city training and working with firms, their compliance departments and HR managers to manage regulatory change, proactively address areas on the regulators radar, address regulatory issues/failings and to ensure their staff are qualified and competent.  The breadth of firms worked for has given her insight into the application of regulations into many parts of the industry

Areas of expertise include:

  • Working proactively with firms implementing regulatory change, updates and topical issues
  • Review of practical application, policies and procedures
  • Identification and resolution of regulatory issues and concerns
  • Working with firms undertaking remedial actions to address regulatory failures
  • Managing compliance findings and initiatives
  • Anti-money laundering and financial crime advice and initiatives
  • Bespoke, tailored regulatory training at a technical/advanced level
  • Train the trainer – detailed regulatory training, building business relevant case studies to demonstrate compliance beyond generic training packages


Expertise:
Banking & finance, Regulatory solutions for the financial services sector

Qualified:
2008

Education (University):
University of Central England, Bachelor of law (LLB)

Languages:
English