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Ricki Gupta

Senior Manager, Consulting

Ricki advises on a wide range of compliance, risk and control mandates.

He is experienced in regulatory conduct and compliance risk, particularly in the context of Banking and Capital Markets. He has a legal and regulatory background and has worked across several global financial institutions.

Prior to joining A&O Consulting in 2021, Ricki was a manager in EY’s risk advisory business in the UK and APAC and led several regulatory assessments across various topics including Brexit, FCA Senior Management Arrangements, Systems and Controls, Market Surveillance, as well as governance risk and control. Ricki has also spent time at Barclays and Santander where he developed first and second line compliance and delivered enterprise-wide regulatory change programmes securing business support, managing teams and senior stakeholders including MD, C-Suite level and regulators.

Experience

Representative matters

Risk management and transformation for a Tier 1 global bank in the context of LIBOR transition

Operational resilience review of a credit reporting agency’s implementation of UK FCA operational resilience requirements

Conduct risk review of a Tier 1 global bank’s client communications

Enhancements to a Tier 1 global bank’s front office supervision framework

Supporting a Tier 1 global bank with advocacy and responses to regulatory consultation papers

Advising a global bank on enhancing its compliance risk framework in the context of establishing regulatory obligation registers

Qualifications

Academic

Bachelor of Laws (LLB), City, University of London, 2013

Bachelor of Laws (LLB), The University of Queensland Australia, 2013
Disclaimer
A&O Shearman was formed on May 1, 2024 by the combination of Shearman & Sterling LLP and Allen & Overy LLP and their respective affiliates (the legacy firms). Any matters referred to above may include matters undertaken by one or more of the legacy firms rather than A&O Shearman.