I bring more than three decades of experience working in the financial services arena, firstly consultancy-side as a financial adviser and para planner, and latterly as an in-house QA and Compliance Manager within a prominent firm of Financial Planners and Employee Benefits Consultants.

Today, as an independent freelance practitioner, my clients benefit from my wealth of knowledge and insight and my calm demeanour and commitment to get the task done.

Why you need me

Navigating the regulatory landscape is demanding yet it’s the cornerstone of every successful practice as is having an audit trail to support every piece of advice given.

Establishing robust controls across your business is akin to preventive medicine, ensuring accuracy in files, efficacy in processes, and soundness in advice, thus minimising the likelihood of upheld complaints and maintaining competitive Professional Indemnity (PI) Insurance rates.

Ensuring you have the right systems and controls in place whilst keeping pace with changes requires specialist knowledge and understanding plus it’s hugely time-consuming. It is why bringing on board a consultant to take care of this crucial element of your business makes perfect sense, freeing up your time so you can focus on your clients.

Where I’m a good fit

For solo practitioners or businesses with a team of advisors, full-time compliance and QA support may be excessive. However, the ability to swiftly adapt to industry fluctuations, such as Consumer Duty or regulatory amendments, remains crucial.

Reassuringly experienced & qualified

In addition to hands-on experience of all things to do with financial advice, compliance and business support processes, I’ve the following professional qualifications:

• QCF Level 4

• Supervision in a Regulated Environment

• Pension Transfer Specialist (AF7)

• Long Term Care

• Advanced Mortgage Qualification

• Equity Release