Regional Compliance Manager

• Sep 2019 - Present

Compliance consultant

• May 2018 - Sep 2019

Available for compliance to independent financial advisory firms, wealth managers, investment solution providers and banks Available for compliance to independent financial advisory firms, wealth managers, investment solution providers and banks

Compliance Consultant

• Oct 2015 - Feb 2018

Supplying financial services compliance consultancy to financial advisers and wealth management firms in the central belt including our fair capital Supplying financial services compliance consultancy to financial advisers and wealth management firms in the central belt including our fair capital

Principle

• Nov 2012 - Sep 2015

Providing S166 past business review, invest portfolio review, and sales training consultancy to bluechip businesses in the Financial Services industry clients inc: 6 months with a leading private bank, conducting a suitability review and remediation for pension and investment advice. 6 months with with EY on a pension and investment remediation project for a top 5 UK bank. 12 months with FOS: investment portfolio review desk 9 months with a major accountant and auditer Providing S166 past business review, invest portfolio review, and sales training consultancy to bluechip businesses in the Financial Services industry clients inc: 6 months with a leading private bank, conducting a suitability review and remediation for pension and investment advice. 6 months with with EY on a pension and investment remediation project for a top 5 UK bank. 12 months with FOS: investment portfolio review desk 9 months with a major accountant and auditer

Account Manager

• May 2011 - Oct 2012

Working exclusively with a bancassurance division to integrate Prudential's Prufund into the sales plan. Working exclusively with a bancassurance division to integrate Prudential's Prufund into the sales plan.

Financial Adviser (investment specialist)

• Aug 2009 - May 2011

exceeding financial services sales targets in a branch based environment, working in a ethical and compliant manner to enhance returns for consumers. exceeding financial services sales targets in a branch based environment, working in a ethical and compliant manner to enhance returns for consumers.

Senior Broker Consultant

• Aug 2008 - Aug 2009

Developing a panel of independent financial adviser distributers. Managing the business to business relationship, promoting services and products to secure new business in pensions and investment markets. Developing a panel of independent financial adviser distributers. Managing the business to business relationship, promoting services and products to secure new business in pensions and investment markets.

Senior Broker Consultant

• Nov 1999 - Aug 2008

Account Manager to a panel of key regional IFA businesses, managing the business to business relationship, promoting services and products to secure new business in pensions and investment markets Account Manager to a panel of key regional IFA businesses, managing the business to business relationship, promoting services and products to secure new business in pensions and investment markets