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Priscilla Gaudoin

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.

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

Navigating CASS Governance & Assurance

Navigating CASS Governance & Assurance

Navigating CASS Governance & Assurance Join us for an enlightening conversation with John O'Dwyer, CEO and Founder of Ruleguard, and Priscilla Gaudoin, Head of Risk & Compliance at Ruleguard, as they delve into the evolution of CASS governance challenges from 2013-14...

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Exploring Challenges in the CASS Regime Compliance for Firms

Exploring Challenges in the CASS Regime Compliance for Firms

Exploring Challenges in the CASS Regime Compliance for Firms Delve into the complexities of the CASS regime as we uncover the specific areas that pose challenges for firms in compliance. Join us for insights into the nuances and intricacies of CASS compliance, and gain...

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The Myth of Firm Size: Why CASS Compliance Matters for All

The Myth of Firm Size: Why CASS Compliance Matters for All

The Myth of Firm Size: Why CASS Compliance Matters for All In this video, we debunk the misconception that the size of your firm dictates the importance of CASS compliance. Whether you're a large corporation with intricate processes or a small firm lacking resources,...

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Keeping it Current: Timely Updates to Resolution Packs

Keeping it Current: Timely Updates to Resolution Packs

Keeping it Current: Timely Updates to Resolution Packs Delve into the importance of timely updates to resolution packs in compliance with the CASS regime. Explore how firms have adapted to the requirement of promptly correcting inaccuracies within five business days...

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Mastering CASS Compliance: Focus Areas for Firms

Mastering CASS Compliance: Focus Areas for Firms

Mastering CASS Compliance: Focus Areas for Firms Explore the complexities of CASS compliance and where firms should direct their attention. Learn about the intertwining of oversight, governance, and accountability, and navigate the nuances of robust audits. Gain...

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