Wealth Planner

• Apr 2021 - Present

Training & Development Manager (North)

• Jan 2019 - Apr 2021

Regional Development Consultant (North)

• Mar 2018 - Jan 2019

Working with Ascot Lloyd’s Independent Financial Advisers to ensure that clients receive an outstanding service and that all regulatory requirements and standards are met and maintained. My role is to guide and support the Advisers to demonstrate appropriate levels of knowledge, skills and expertise to undertake their role competently in line with Ascot Lloyd’s Training and Competence programme and TCF strategy.

Field Based Compliance Auditor & Competence Consultant

• Apr 2015 - Mar 2018

My last role was on secondment in the compliance delivery team in the role of Field Based Compliance Auditor visiting the principles of Tenet’s appointed representative firms in the North of England to complete regulatory audit meetings ensuring compliance with network policy and procedures. Prior to this I was working in the role of Competence Consultant providing T&C support and supervision to Tenet’s appointed representative firms and their advisers. My original role on joining Tenet was working with the Select team and key stakeholders in the wider Tenet Group to help to further develop the already comprehensive directly authorised proposition. Tenet supports financial advisory businesses who trust us to deliver first class support to meet their ever changing regulatory and compliance support requirements. During my time with Tenet I have also gained valuable experience of working on the compliance helpdesk team providing telephone based support and guidance on regulatory and compliance matters including the approval of websites and financial promotions to both network and directly authorised firms.

Managing Director/Compliance Officer/Supervisor/Independent Financial Adviser

• Jun 2000 - Apr 2013

I joined Moneyweb Limited as an Independent Financial Adviser in June 2000 and quickly achieved promotion initially to Sales Manager and then Managing Director. It was my responsibility to ensure all compliance functions including supervising regulated staff, completing file checks, one to one meetings, supervised visits, monitoring/implementing Training & Competence plans, FCA recording and reporting (TCF/RDR/RMAR/Gabriel) were completed. In addition to this I was responsible managing all aspects of the business on a day-to-day basis including the preparation, development and delivery of a Retail Distribution Review (RDR) compliant business model. I have experience of establishing and building relationships with other professional firms including solicitors and accountants.Although my main focus had been on the activities detailed above I also continued to manage a portfolio of my own clients providing them with both initial and on-going advice, which contributed towards the total income revenue of the business.

Deputy Station Officer

• Feb 1992 - Sep 2005

After losing my father unexpectedly in my early twenties when his fishing trawler was lost at sea I became an Auxiliary with Her Majesty’s Coastguard. During my service I was part of a team of local volunteers who provided a search and rescue service in the local community. I learnt valuable decision-making and people management skills, which helped me to gain promotion to Deputy Station Officer within a short period of time. I very much enjoyed my time in this role and found it to be a very rewarding way of putting something back into my local community.

Financial Adviser

• Mar 1994 - Jun 2000

I started my career in Financial Services when I joined Royal London in March 1994. During my time with Royal London I was responsible for developing and maintaining sales and customer service on an existing insurance agency. My duties included selling financial products, collecting premiums, accounting and servicing all customer’s needs operating initially from the Scarborough office and subsequently the York office.