Chris is an experienced compliance officer having worked in the industry since 2013, most recently as Head of Advice & Sales Monitoring for a national financial planning network.
Working on the regulatory side of the business, Chris undertakes file reviews and provides answers to queries around suitability whilst maintaining up to date knowledge of FCA regulations. Chris is well-placed to understand what makes financial planners and their firms tick, firmly believing in compliance as a means to assist financial planners and their businesses in developing.
When not at work, Chris can be found watching football, hiking, or hacking his way around a golf course.
Qualifications and Accreditations
Royal Holloway University of London
- BSc (Hons) Geography, Politics & International Relations
Chartered Institute for Securities & Investment (CISI)
- Investment Advice Diploma (Level 4)
- Certificate in Global Financial Compliance (Level 3)
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