I am a freelance compliance consultant working with several firms of different sizes. I have previously been an adviser, which gives me a good understanding of the advice process and dealing with customers and I enjoy a close relationship with my adviser clients. I offer a wide range of services including training & competence supervision, file checking, report writing and FCA Connect and liaison with regulators. I also write articles that are published in the trade press.

• Advice pre regulatory risk assessment or supervised visit
• Authorisation - FCA
• Complaints Handling
• Compliance Advice
• Compliance Support
• Compliance Training
• Contracting / Interim
• Documentation
• Due Diligence
• Enforcement Action - AML and Payment Services
• EU / International Compliance
• File Reviews and/or Monitoring
• Governance
• Health Checks
• Information Security / Data Protection
• Money Laundering / Financial Crime
• Pension Reviews
• Regulatory Relationship Management
• Regulatory Returns
• Regulatory Updates
• Risk Management

• Financial Advisors
• Fintech / Regtech
• IFA - Financial Institutions
• IFA's - Wealth Managers
• Insurance Brokers - General
• Insurance Brokers - Pure Protection Products
• Insurers
• Mortgage Brokers
• Mortgage Lenders/Administrators
• Pension Advisers
• Private Client Investment Management
• Restricted Financial Advisors
• Retail Investment Management
• Wrap Platforms