Experience

Apogee Wealth Management

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Head of Compliance and Risk

  • Oct 2021 - Present

• Compliance and Operations Manager

  • Jan 2015 - Sep 2021



Buckland Harvester Limited

• Business Support Manager

  • Aug 2011 - Dec 2014

  To assist in the development of the business by implementing and supervising work processing systems To generate new business income To ensure full Compliance and TCF systems are in place To provide financial advice to clients within FSA rules and the firm’s proceduresTo implement a business strategy to meet the requirements of the FSA retail distribution review (RDR). To assist in the development of the business by implementing and supervising work processing systems To generate new business income To ensure full Compliance and TCF systems are in place To provide financial advice to clients within FSA rules and the firm’s proceduresTo implement a business strategy to meet the requirements of the FSA retail distribution review (RDR).



Paradigm Financial Partners

• United Kingdom
• Financial Services

• Business Consultant

  • Jun 2010 - Jul 2011

  Carrying out on - site visits and fieldwork, providing support to Investment firms by undertaking a comprehensive review of their compliance arrangements, systems and records and client files.Discuss the findings with the firm and present alternative compliant solutions and appropriate remedial action necessary in order to comply with FSA Rules & Principles or to enhance internal systems and thus improve efficiencyPrepare detailed coherent reports and Action Plans for the FirmReview Training and Competence scheme, including a review and assessment of customer files, conduct role-play assessments, train, coach and assess individuals



Bankhall

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Compliance Consultant

  • 2005 - 2009

  Carrying out on - site visits and fieldwork, providing support to Investment/ Mortgage firms, by undertaking a comprehensive review of their compliance arrangements, systems and recordsDiscuss the findings with the firm and present alternative compliant solutions and appropriate remedial action necessary in order to comply with FSA Rules & Principles or to enhance internal systems and thus improve efficiencyPrepare detailed coherent reports and Action Plans for the FirmReview Training and Competence scheme, including a review and assessment of customer files, conduct role-play assessments, train, coach and assess individualsSupport the Bankhall Training Team with delivering the Advanced Supervisors and Introduction to Supervision courses



Investment Strategies Ltd

• Monitoring Manager

  • 1996 - 2001

  To oversee the management and operation of a team of monitoring officers (approximately 18 staff), ensuring compliance with regulatory responsibilities and to develop effective working relationships with Members To oversee the management and operation of a team of monitoring officers (approximately 18 staff), ensuring compliance with regulatory responsibilities and to develop effective working relationships with Members