John, as the firm's compliance consultant, specialises in financial services compliance, mainly through audits of IFA and mortgage firms. In addition he can perform the T&C functions the firm requires including, role plays, ASK, KPI reviews, one to one discussions and client file assessments.
He also provides assistance in the interpretation and guidance on FSA rules, money laundering, Treating Customers Fairly and DPA rules for client firms.
John has particular responsibility for the compliance of client firms in line with FSA rules and guidance.
In addition, John has worked in financial services for over 23 years and in compliance for over 15 years and is qualified in designated investments, pensions, mortgages and insurance and has attended many FSA seminars and workshops and has articles published in financial services publications.
John has professional qualifications in designated investments and pensions (FPC), mortgages (CeMAP and Life Time Mortgages) and insurance (CeGI)