Priscilla Gaudoin

Head of Risk & Compliance

Priscilla is a certified compliance professional specialising in governance, risk management and compliance. With a career spanning 30 years, she has previously worked as a consultant providing regulatory advice to firms from various FS sectors. She has also held senior management roles as the Chief Compliance Officer and MLRO. Priscilla has significant experience in designing and implementing compliance processes and controls as well as risk management frameworks. She is a Fellow of the International Compliance Association and a member of the Chartered Institute of Securities and Investments.

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She is responsible for Ruleguard’s Thought Leadership Programme, where she writes regular in-depth articles, white papers, and hosts insightful webinars on a variety of regulatory matters including CASS, SM&CR, Risk Management, Operational Resilience and AI.

Priscilla’s dual role also encompasses the oversight of risk management at Ruleguard, and strategic guidance on the development of Ruleguard’s GRC solutions. She is a strong advocate of RegTech and believes that leveraging advanced technology is key to proactively managing regulatory risks and boosting operational efficiency.

Committed to knowledge sharing, Priscilla plays a vital role in supporting the next generation of compliance professionals. She has contributed to the PIMFA CASS Academy, sponsored by Ruleguard, and regularly mentors junior professionals in the industry.

Priscilla brings extensive experience as a former consultant, offering expert regulatory advice to financial services firms, including financial advisors, investment management firms, fund managers, and insurers. She has helped these organisations evaluate and interpret regulations and implement robust processes and controls that stand up to external scrutiny.

She has also held senior leadership roles as Chief Compliance Officer and MLRO, where she oversaw regulatory visits and thematic reviews, as well as the design and implementation of end-to-end compliance and risk management programmes.

Priscilla is a certified compliance professional specialising in governance, risk management and compliance. She is a Fellow of the International Compliance Association, and an active member of the IRM.

All articles from Priscilla Gaudoin

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UK: 2025 Regulatory Changes & 2026 Outlook

FCA, ESG, innovation, PRA, digital assets, Bank of England, AML

PRA 2026: Priorities for UK Deposit Takers

governance, risk management, operational resilience, PRA, data, Banking

Time to read: 4 minutes TL:DR - The PRA’s 2026 priorities stress the need for stronger risk management, enhanced governance, improved operational and financial resilience, and better data quality across UK deposit‑takers. Firms must refine controls, strengthen...

USA Financial Promotions: Fragmented Regulations & High Stakes

financial promotions, third party risk, USA, SEC, FINRA

Time to read: 4 minutes TL:DR - The US financial promotions landscape is highly fragmented, with multiple regulators enforcing strict standards for fairness, accuracy, and disclosure. Digital marketing, influencer endorsements, and crypto promotions face intense...

Safeguarding: Reshaping Risk Management for Payment Firms

accountability, client assets, Compliance Monitoring, payment firms, RCSA, CASS 15

Time to read: 4 minutes TL:DR - When you load money into a payment account, you have expectations. The money is yours, it's held securely, and ready when you need it. Recent failures have exposed the weaknesses which the FCA hopes to address with its strengthened...

Balancing Innovation, Resilience & Competition

innovation, risk management, operational resilience, PRA, cryptoassets, AI, UK, Bank of England

"Innovation can… [help make] the financial system stronger and more resilient. For example, via the use of third-party services, including cloud-based ones, to replace inefficient legacy in-house systems and processes with more resilient and flexible ones." Bank of...

A Shared Vision: Accountability in the UK and Ireland

accountability, regulatory strategy, SM&CR, SEAR, Ireland, UK

"We believe that our proposed reforms will create a framework to facilitate the embedding of cultural change and ensure greater individual accountability." Derville Rowland, Speech on SEAR and Individual Accountability Framework, 2 May 2019

Blockers to AI Adoption

accountability, corporate governance, risk management, AI

The Institute of Directors' survey reports five stand out brakes on AI adoption: Skills gaps (29%), costs (25%), data protection and security risks (23%), governance/ethical concerns (21%), and explainability and black-box issues (20%). Many leaders want ‘clear,...

Legal Clarity, Regulatory Complexity: The Motor Finance Challenge

corporate governance, remuneration, conflicts, complaints, regulatory updates

The Supreme Court ruled that certain commission arrangements between car dealers and lenders created an unfair relationship under Section 140A of the Consumer Credit Act 1974. This followed years of complaints about discretionary commission arrangements (DCAs), where...

The Future of Accountability: SM&CR Reforms

accountability, innovation, regulatory strategy, SM&CR, regulatory updates, UK

“The SM&CR has driven up standards in financial services. But we want to boost competitiveness, and support growth, by streamlining the regime while preserving its benefits.” — FCA CP25/21

Unlocking Capital, Driving Innovation: The Chancellor’s Financial Services Agenda

innovation, regulatory strategy, SM&CR

“We are rewiring the UK’s financial system to unlock investment, drive innovation, and create skilled jobs across the country.” — Chancellor Rachel Reeves, Mansion House Speech 2025

“Regulatory Greens”: FCA’s Balanced diet

governance, accountability, SM&CR, Consumer Duty, GRC, financial crime

"Good strategy, like good nutrition, is all about balance. The right elements, working together, to support long-term health." (Emily Shepperd, FCA's COO, June 2024)

Finfluencers Under Fire: Global Clean-Up of Rogue Financial Promotions

third parties, FCA, due diligence, financial promotions

"Increasing numbers of young people are falling victim to scams, and finfluencers can often play a part" (FCA, Oct 2024) In recent years, we have seen the FCA highlight the risk posed by finfluencers, which is illustrated by the regulatory action taken against this...

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