ABOUT IFA CONSULTANCY
I set up IFA Consultancy in 2004 to provide a compliance consultancy service to Independent Financial Advisers. Regulation then spread to mortgages, and then insurance, and today has an impact on firms whose main business is not primarily financial services, e.g. finance brokers, motor traders and consumer credit businesses. I have therefore gained a wide variety of experience across the small business sector as I have helped these clients with their compliance needs.
I set up IFA Consultancy with certain aspirations:
- to concentrate on small retail firms, predominantly Independent Financial Advisers (because of my expertise in this sector);
- to help firms on a face-to-face basis through regular visits;
- to support firms with remote services, such as policy writing and remote file checking;
- to provide a personalised service to each firm;
- to work with a limited number of clients so that I am available when needed;
I still operate on these principles today.
I am an IFA Compliance specialist; I had 10 years’ experience as an Independent Financial Adviser prior to this role as a compliance consultant. I worked as an IFA at a bank and then in the private sector and was a manager in both environments. I am qualified to Diploma level with additional qualifications in pensions, mortgages and supervision.
I like to build relationships with a firm rather than leaving them with a set of instructions to follow.
Whether you are new to regulation, looking to replace your current compliance support, or looking for compliance help for the first time on specific issues then I believe I can help. Whilst my bespoke FCA Compliance support would normally include monthly visits to your office I can sometimes offer help with one off projects – anything from FCA complaint handling, FCA authorisation, to helping to set up a FCA compliant Training and Competence scheme.
IFA Consultancy is a member of the Association of Professional Compliance Consultants. The APCC monitor their member firms to ensure that they provide quality support services and abide by the industry’s code of ethics.