Navigating the Compliance Landscape: A Journey Unveiled

Embarking on my compliance journey in June 2011, I joined a reputable financial planning practice that was part of the Sense Network. Over the years, I've been instrumental in steering the company through a transformative compliance evolution until I left in November 2023.

Empowering Independence in 2016

In 2016, I collaborated closely with Threesixty Compliance Services to facilitate the transition of our company into a directly authorised entity. This strategic move marked a significant milestone in our commitment to regulatory compliance and client-centric operations.

Sustaining Compliance Excellence

Since the transition, my role has been dedicated to maintaining and enhancing our compliance standards. Through continuous collaboration with Threesixty, I've diligently reviewed processes, generated comprehensive management reports, and ensured adherence to all regulatory requirements.

A Rigorous Approach: FCA Returns and Information Requests

My responsibilities extended to managing FCA returns and promptly addressing all requests for information from the Financial Conduct Authority (FCA). This meticulous oversight aimed to uphold transparency and accountability in our operations.

Championing Consumer Duty in 2023

In 2023, I successfully spearheaded the implementation of Consumer Duty within the organisation. This forward-thinking initiative reflected the commitment to prioritising the best interests of the clients and aligning with the evolving landscape of regulatory expectations.

Navigating the intricate world of compliance has been both a challenge and a triumph. I look forward to navigating the future of compliance with dedication, resilience, and an unwavering commitment to excellence.

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