Sebastien Petsas is a director in the Compliance and Regulatory Consulting practice in London, specializing in regulatory and operational due diligence, regulatory commissioned reviews and financial crime.
 
Sebastien has worked on many Skilled Person (s.166) reviews covering a wide range of issues including: suitability of investment advice, AML and CTF controls, best execution requirements, data manipulation and assessing the fitness and propriety of Approved Persons. The scope of this work generally requires a deep-dive review of the firms’ governance and reporting arrangements, compliance and risk frameworks, systems and controls in order to provide recommendations on areas of weaknesses identified. His other work includes Regulatory Due Diligence and Operational Due Diligence reviews, assisting a broad range of financial services firms globally to identify sources of potential regulatory risk (typically on behalf of potential investors).

Prior to joining Duff & Phelps, Sebastien was at the Financial Ombudsman Service working as an investment adjudicator.

Sebastien’s qualifications include a Law LLB, Legal Practice Course, MSc Finance and Financial Law, and CISI Diploma in Regulation and Compliance.

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