Leadership Team

Nisha has over 15 years experience advising top tier financial services firms on complex regulatory matters. During this time and since founding Rosediem she has specialised in both conduct and prudential regulatory work, as well as operational risk and control matters. Having specifically focused on conduct and client assets regulatory issues in practice for many years Nisha has become one of the markets top tier client assets specialists and is often called upon to help formulate solutions and provide interpretations for some of the trickiest practical challenges. Nisha's experience includes providing deep technical expertise as well as leading large project teams

Nisha has a wealth of experience across a large number of clients and has extensive knowledge of legal arrangements; complex financial products; operational systems; settlement flows; risks; and associated processes and controls for both buy and sell side firms. Nisha has formed a reputation as someone who is able to quickly solve problems by providing in depth analysis which leads to pragmatic solutions, and as someone who is able to quickly identify the right stakeholders within an organisation. As a result of this and her commercial awareness Nisha is often called upon by Board level executives. Recent experience includes managing a large CASS end to end review; building FRC ready governance models; advising firms during S166 reviews; acting as a specialist on Board and Steering Committees; designing end to end governance models; providing scenario based CASS and Conduct training; supporting firms as an in-house CASS subject matter expert; performing a Prime Brokerage CASS design review; assisting with a remediation program; designing Compliance Monitoring frameworks; and conducting total capture workshops utilising deep product, legal and technical expertise.

Executive mandates include:

• Board advisor for a large investment bank and a broker dealer
• Regulatory change advisor for the Board of a large asset manager
• CF10a executive oversight committee and Steering Committee specialist member for a number of large investment banks, medium size brokers and asset managers
• Exclusive operational advisor to a City Law Firm
• Expert witness

Nenita is a prominent face within the City having worked as an advisor for over 35 years focusing on both conduct and prudential regulation. Since 1997 Nenita has specialised in client assets regulation and has seen the evolution of the rules and the challenges that firms have faced with practical application. This level of knowledge teamed with practical experience has made Nenita one of the markets top tier client assets specialists. As well as advising on client assets, Nenita's experience has led to her being called upon as an all rounded expert for both regulatory and operational challenges faced by firms today. Through her own practical experience across a large range of clients Nenita is a market leading expert in financial markets as well as the products that are invested in and traded in today. Having worked as a technical specialist for many years within a Big4 accounting practice Nenita is an expert in operational systems; settlement flows; risks; and associated processes and controls. Nenita's portfolio of work has stemmed across Securities firms, Asset Management firms and Global Banking organisations. Nenita is achievement driven and is able to build effective working relationships quickly and influence at all levels. Recent experience includes advising firms during S166 reviews, performing S166 reviews, acting as a specialist on Board and Steering Committees, designing end to end governance models, providing scenario based CASS and Conduct training, supporting firms as an in-house CASS subject matter expert, performing CASS design reviews and advising on operational risk models.