Julian Gooding

Julian handles Financial Services matters (non-contentious advisory and contentious regulatory and investigations). He is also a member of our Dispute Resolution and ESG, Compliance & Investigations teams. Julian primarily advises clients in investment banking, wealth management and private banking, retail banking and asset management. He has significant experience in advising on and handling crisis situations under intense regulatory scrutiny, in relation to internal investigations, disciplinary matters, whistleblowing, fraud, market misconduct, cross-border activity, conduct and compliance risks, governance, and organisational and risk culture. Consequently, Julian also advises on how to build the right programs to prevent or mitigate these risks. Before joining Temple Bright in 2024, Julian worked at Credit Suisse for almost twenty years in senior GC and compliance roles across Asia, Switzerland and London supporting the investment banking, wealth management and asset management businesses. These roles included APAC Litigation Head; APAC GC; GC Corporate Legal; GC COO; Deputy Chief Compliance Officer; and Regulatory Chief Compliance Officer. Prior to Credit Suisse, Julian worked at Allen & Overy and Freshfields Bruckhaus Deringer in the City and at the LSE and Financial Conduct Authority, in each case supporting the UK Listing Authority.

Experience

Relevant experience includes:

• Conducting a section 166 FSMA “skilled person” investigation into a national wealth manager, covering compliance with various FCA Handbook obligations, including consumer duty, suitability, product governance, governance and the senior manager regime.
• Supporting a fintech start-up in relation to developing their cross-border program, including obtaining and assessing legal advice globally.
• Advising regarding a global bank’s sanction compliance program, and related litigation risks.
• Conducting an internal investigation into unauthorised trading by a desk trader manipulating risk positions, including management of internal and regulatory stakeholders.
• Advising in relation to employee disciplinary investigations, including related DSAR applications under media scrutiny.
• Conducting internal disciplinary investigations into fraud and relationship manager misconduct.
• Advising and leading global regulatory remediation and control enhancement programs relating in particular to fraud, conflicts of interest, conduct risk and cross-border activity.
• Advising global financial services firms on insider dealing, market misconduct and conduct of business regulatory obligations.
• Advising on regulatory investigations into breaches of listing rules.
• Overseeing investigations into data theft, including enhancement of policies, procedures and controls.
• Advising and leading global governance reviews, and GC and Compliance function transformation, including in relation to appropriate metrics and reporting.
• Advising and leading a global risk culture remediation program.
• Supporting global financial services institutions with drafting and implementation of policies, procedures, handbooks, manuals and controls across legal and compliance risks.
• Advising a charity in developing a Diversity, Equity and Inclusion program.