03 Aug W J Palmer Consulting Limited
Compliance consultant living and working in the North West. Helping FCA regulated firms meet their statutory and regulatory objectives.
Will Palmer has worked in financial services for over 20 years, the last 10 years of which have been spent specialising in investment compliance. His career spans some of the world’s largest financial institutions including MBNA credit cards, Bank of America and investment bank Merrill Lynch.
Will has extensive regulatory expertise having held the FCA-approved senior manager positions of Head of Compliance (SMF 16) and Money Laundering Reporting Officer (MLRO/SMF 17) for several years at a boutique stockbroker and discretionary investment manager in Liverpool. His expertise is complemented by a degree in law and extensive professional qualifications in areas including financial planning, investment management, mortgage advice, equity release, and long term care planning.
Will has a commercial mindset and understands that compliance can be seen as the ‘business prevention department’. Having a strong appreciation for the needs of each business, Will works with his clients to ensure that their compliance requirements are met, fit for purpose and adaptable to changing requirements.
Will is a Chartered Fellow of the Chartered Institute for Securities and Investments (CISI) and a Member of the Personal Finance Society (PFS).
- Authorisation -FCA
- Authorisations/Permissions applications
- Complaints Handling
- Compliance advice
- Compliance Support
- Compliance Training
- Due Diligence
- Enforcement Action - Financial Services
- File Review
- Money Laundering/Financial Crime Advice and Reviews
- Regulatory Relationship Management
- Regulatory Updates
- Consumer Credit Providers
- Discretionary Fund Managers
- IFA - Financial Institutions
- Institutional Investment Management
- Insurance Brokers - General
- Insurance Brokers - Pure Protection Products
- Investment Banks
- Money Service Businesses
- Mortgage Brokers
- Mortgage Lenders/Administrators
- Pension Scheme Operator/Provider
- Private Client Investment Management
- Restricted Financial Advisors
- Retail Investment Management
- Securities and Futures firms
- SIPP providers
- System Providers
- Trade Associations - professional bodies and regulators
- Trust Service Providers
- Wrap Platforms