The Chartered Institute of Securities and Investments (CISI) is the professional body of choice for professionals in capital markets, corporate finance, compliance, risk, financial planning, Islamic finance, operations and wealth management in the UK and in a growing number of major financial centres globally. Formed in 1992 by London Stock Exchange practitioners, the CISI has a global community of more than 40,000 members in 116 countries.Exploring a wide range of topics, this new podcast from the CISI will feature experts discussing matters from mental health to AI and how they apply to the financial services profession.
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In this episode of the CISI Compliance Podcast, Catherine Levy, Chair of the CISI Compliance Forum, sits down with Rob Gordon, Partner at RSM UK, and Mark Bailey, Associate Director at RSM UK, for an engaging and insightful discussion on the evolving world of compliance.
Together, they explore the challenges and opportunities facing compliance professionals today, from navigating rapidly changing regulatory expectations to building resilient frameworks that support good governance and sustainable growth. Rob and Mark share their practical experiences from working with firms across the UK, offering real-world examples, expert perspectives, and thoughtful guidance on strengthening compliance culture.
Whether you’re a compliance officer, senior leader, or simply interested in how the landscape is shifting, this episode provides valuable takeaways on risk management, regulatory readiness, and the future of the profession. Tune in for a clear, candid, and informative conversation with two leading voices in the field.
Hosted on Acast. See acast.com/privacy (https://acast.com/privacy) for more information.
28 Nov 2025
CISI Compliance Podcast - Episode 2
In this episode of the CISI Compliance Podcast, Catherine Levy, Chair of the CISI Compliance Forum, sits down with Rob Gordon, Partner at RSM UK, and Mark Bailey, Associate Director at RSM UK, for an engaging and insightful discussion on the evolving world of compliance.
Together, they explore the challenges and opportunities facing compliance professionals today, from navigating rapidly changing regulatory expectations to building resilient frameworks that support good governance and sustainable growth. Rob and Mark share their practical experiences from working with firms across the UK, offering real-world examples, expert perspectives, and thoughtful guidance on strengthening compliance culture.
Whether you’re a compliance officer, senior leader, or simply interested in how the landscape is shifting, this episode provides valuable takeaways on risk management, regulatory readiness, and the future of the profession. Tune in for a clear, candid, and informative conversation with two leading voices in the field.
Hosted on Acast. See acast.com/privacy (https://acast.com/privacy) for more information.
21 Nov 2025
Compliace Podcast - Episode 1
In this episode of the CISI Compliance Podcast, Catherine Levy, Chair of the CISI Compliance Forum, sits down with Rob Gordon, Partner at RSM UK, and Mark Bailey, Associate Director at RSM UK, for an engaging and insightful discussion on the evolving world of compliance.
Together, they explore the challenges and opportunities facing compliance professionals today, from navigating rapidly changing regulatory expectations to building resilient frameworks that support good governance and sustainable growth. Rob and Mark share their practical experiences from working with firms across the UK, offering real-world examples, expert perspectives, and thoughtful guidance on strengthening compliance culture.
Whether you’re a compliance officer, senior leader, or simply interested in how the landscape is shifting, this episode provides valuable takeaways on risk management, regulatory readiness, and the future of the profession. Tune in for a clear, candid, and informative conversation with two leading voices in the field.
Hosted on Acast. See acast.com/privacy (https://acast.com/privacy) for more information.
27 Jun 2025
Preparing Your Business For Sale – The Broker’s Inside Tips
Managing Director Louise Jeffreys of Gunner & Co discusses how businesses can prepare for sale by understanding buyer expectations and maximizing value, in this interview episode.
27 Oct 2023
Black History Month 2023: Rising through our ‘glass ceiling’
There are still many people who are unaware of the array of opportunities available to them in the financial services sector, especially those who are underrepresented, including Black women. In this insightful panel discussion, three sector professionals across media, banking and investment share how they exercised leadership to forge their careers in finance, the value their perspectives bring, and explain what more organisations can do to reach marginalised communities.
Speakers: Selina Flavius, Founder of Black Girl Finance; Alexis Owuadey, vice president at Harbour Vest; Taofikat Agboola, client management associate at RBC Wealth Management.
Moderator: Zerina Francis, ATP & test centre executive at Chartered Institute for Securities & Investment
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7 Aug 2023
Customer vulnerability - Regulatory and customer behavioural insights - Part 2
This event was provided by the CISI Compliance Forum with guest speakers Dr Christopher Fitch, Research Fellow at the Personal Finance Research Centre (University of Bristol), Vulnerability Lead at the Money Advice Trust, and a Fellow of the Royal Society for Public Health and Leigh Caldwell behavioural economist, founder of the Irrational Agency and author of The Psychology of Price.
Joining the panel is Bernardine Reese MD Protiviti and Compliance Forum committee member.
Key topics will include a short history of the regulatory background for customer vulnerability, thoughts and insights from Dr Christopher Fitch and Leigh Caldwell about what customer vulnerability is, how it might manifest, behavioural insights into customers who may be vulnerable and considerations for Firms in how to manage their interactions with customers who may be vulnerable and MI that may help with this.
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7 Aug 2023
Customer vulnerability - Regulatory and customer behavioural insights - Part 1
This event was provided by the CISI Compliance Forum with guest speakers Dr Christopher Fitch, Research Fellow at the Personal Finance Research Centre (University of Bristol), Vulnerability Lead at the Money Advice Trust, and a Fellow of the Royal Society for Public Health and Leigh Caldwell behavioural economist, founder of the Irrational Agency and author of The Psychology of Price.
Joining the panel is Bernardine Reese MD Protiviti and Compliance Forum committee member.
Key topics will include a short history of the regulatory background for customer vulnerability, thoughts and insights from Dr Christopher Fitch and Leigh Caldwell about what customer vulnerability is, how it might manifest, behavioural insights into customers who may be vulnerable and considerations for Firms in how to manage their interactions with customers who may be vulnerable and MI that may help with this.
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27 Apr 2023
Mental health of young men in financial services
This podcast is a discussion about the role that Banter plays in a working environment particularly in the context of young men and their mental health. The moderator and panellists explore the concept of good and bad banter, and work through scenarios in a professional and personal capacity where banter can negatively affect performance and progress. This is the second podcast in a series following on from a research project the CISI conducted on banter in 2022.
Learning Objective:To hear what form banter can take, better understand the negative impacts of banter and have an awareness of how this affects the mental health of young men in particular.
Learning Outcome:The listener will hear what form banter can take, better understand the negative impacts of banter and have an awareness of how this affects the mental health of young men in particular.
PLEASE NOTE: If you are a CISI member, please make you are listening to the podcast through the MyCISI app or on your MyCISI dashboard. This will ensure your CPD is automatically logged. If you wish to continue to listen to this podcast on this platform, please be aware you will need to log your CPD manually.
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16 Dec 2022
“It’s just a joke!”: But is it? CISI and Focal Point discuss their recent research on banter in the workplace.
It's just a joke... a funny nickname... a good laugh. But is it really? When is it banter and when has it crossed the line? In this podcast, we take a deep dive into recent findings on the effects 'bad banter' can have on teams and organisations, and offer tips on how to navigate situations where it has crossed the line. A must-listen if you're working as part of a team!
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31 Aug 2021
Career talks: Take your career a day at a time
Andrew Dawson is joined by Luke Hornsby, who shines a light on the positives of compliance, learning something new every day and having best client outcomes at heart. Luke also shares his journey into financial services going through clearing into university, spending a year in the hospitality sector, then to recruitment and into compliance.
Do you want to know more about our Young Professionals’ Network? Visit cisi.org/ypn for information about our brilliant network, and examples of the high-quality learning content available.
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18 Aug 2021
Career talks: We’re not shouting loud enough about how great this career can be
Stephen Harris talks with one of the earliest members of the committee, Ross Jeffries. Listen in to find out Ross’s journey with financial planning, how well you get to know someone when being their financial planner and how he built connections without having gone to university.
Do you want to know more about our Young Professionals’ Network? Visit cisi.org/ypn for information about our brilliant network, and examples of the high-quality learning content available.
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11 Aug 2021
Career talks: It’s all about those transferrable skills
Leaving university at the height of the financial crisis Stephen Harris tells Luke Hornsby how his career journey has unfolded, discussing how important it is to not be hesitant about trying something new. Stephen also shares some advice for all young professionals on how you know it’s time to move onto a new role or new challenge.
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4 Aug 2021
Career talks: I used to sometimes put on accents for sales calls…
Emma Dobson and Gladys Garcia sit down to discuss Gladys’ variety of experience, including being a ‘Saturday kid’ at a retail bank, stockbroking and now into asset management. They also discuss being that ‘go to’ person, and the importance of finding solutions.
Do you want to know more about our Young Professionals’ Network? Visit cisi.org/ypn for information about our brilliant network, and examples of the high-quality learning content available.
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27 Jul 2021
Career talks: Play to your strengths
Gladys Garcia and Siobhan Baker feature in our third episode of the series where Siobhan opens up about her various previous job roles. This even includes teaching in Spain, sharing how useful it is for her career now.
Do you want to know more about our Young Professionals’ Network? Visit cisi.org/ypn for information about our brilliant network, and examples of the high-quality learning content available.
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21 Jul 2021
Career talks: I used to hate the term ‘networking’, now I know it's invaluable
In our second career talks episode Siobhan Baker finds out why Andrew Dawson keeps finding his way back to Deutsche Bank. Andrew talks through his current role in the robotics area, and shares his best pieces of advice for other young professionals.
Do you want to know more about our Young Professionals’ Network? Visit cisi.org/ypn for information about our brilliant network, and examples of the high-quality learning content available.
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21 Jul 2021
Career talks: From a Spanish degree to a compliance career
The career talks series is your opportunity to hear the CISI’s Young Professionals’ Network (YPN) committee members’ career stories, including key lessons they’ve learned along the way. We begin with long-standing YPN committee members Ross Jeffries and Emma Dobson, who is also chair of the committee, as Ross uncovers how Emma went from a lingual background into financial services.
Do you want to know more about our Young Professionals’ Network? Visit cisi.org/ypn for information about our brilliant network, and examples of the high-quality learning content available.
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27 May 2021
The next generation of progress
Most investors today are aware of the power of the new digital technologies reshaping retail, media and advertising around the world. Fewer recognise that the same data technology is now driving positive progress across a much wider range of industries. For Scottish Mortgage, a number of the perhaps less well-known companies in the portfolio are at the forefront of this, from agriculture and the food chain, through healthcare to the industrialisation of biology and not forgetting our own industry of finance. These are some of the leaders amongst the next generation of companies, using the progress in computer science to build new business models, which are exciting the Managers of this unashamedly long-term global growth portfolio.
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6 Dec 2019
The ethics of AI in financial services
In the 2nd CISI podcast, Rebecca Aston, former head of professional standards at the CISI, speaks to Antony Jenkins, a financial professional for over 30 years and Executive Chairman of 10x Future Technologies and Stuart Coleman Head of data, Analytics and AI also at 10x. Rebecca, Antony and Stuart, discuss in detail the role of AI in financial services, the benefits that it has and the ethics that AI poses for today and in the future. If you are a CISI member and would like to claim CPD for this podcast, please manually do so via your CPD log.
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10 Oct 2019
Mental health
In our first CISI podcast Lora Benson, head of media at the CISI, discusses the topic of mental health within financial services. Lora is joined by Dr Stephen Pereira, a consultant psychiatrist with over 25 years experience in psychiatry and Piers Connolly a senior financial services director who gives a detailed account of dealing with his own mental health issues whilst working within the financial services profession. If you are a CISI member and would like to claim CPD for this podcast, please manually do so via your CPD log.
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