The Team
Are you a Compliance professional? Or want to work in compliance? Please get in touch if you want to work for a consultancy that fosters and rewards excellence.
Joe Denney
Joe has 20 years’ experience of working in compliance, including over nine years working at the UK regulator (FSA/FCA) before working as a consultant for Complyport, Duff and Phelps (Kinetic/Kroll) and Bovill.
Joe has experience of working with most types of regulated firms during this time, including managers, advisers, traders and custodians in the wholesale industry as well as retail advisors, wholesale insurance brokers and credit unions. His breadth of experience provides a unique insight into the industry and the FCA’s regulatory approach.
Joe holds the CISI Level 6 Diploma in Regulation and Compliance (Merit) and CISI Level 3 Certificate in Global Financial Compliance, several financial exams (IAC/CFP) from CISI/CII respectively and BA Hons from Leicester University (Psychology and Sociology).
Nick Thomas
Nick has over 17 years of compliance experience including more than 12 years at the FCA/FSA and more than 5 years in consulting practice.
Notable experiences at the FCA including acting as ‘Business Technical Lead’ on the AIFMD Implementation Project for the Authorisations Department, being the FCA Supervisor of one of the UK’s most prominent managers and, separately, leading on firm examinations including market abuse controls assessments and pre-enforcement work.
In consulting, Nick has focused again on the alternatives sector with deep experience in the buy-side implementation of MiFID II, EU MAR and SMCR amongst other areas, alongside FCA authorisations, compliance monitoring, health checks and in-house secondments.
Nick holds a BSci in Mathematics from Imperial College alongside a number of relevant professional qualifications.
Poppy Brewer
Poppy has several years’ experience of working in the compliance industry, most recently as a consultant at Bovill where she helped fund and asset management firms with various areas of regulation including FCA authorisations, compliance monitoring and ongoing compliance support. Notable experiences include working on FCA Section 166 investigations, part-time secondments to leading alternative asset managers and a number of large regulatory change projects on areas such as GDPR, SMCR and SFDR/ESG. Poppy also has first-hand experience of the compliance issues regulated firms face having spent 4 years in the compliance department of a UK fund manager.
Poppy graduated from Loughborough University where she studied English. She then went on to complete the Level 4 Diploma for Financial Advisers from the London Institute of Finance and Banking and is currently studying for the Level 6 Diploma in Investment Compliance with the CISI.
Stephanie Winson
Steph has over 16 years’ experience working for the UK regulator (FCA/FSA) within the Supervision and Authorisation divisions.
Steph spent 5 years as a senior case officer within the wholesale authorisation department approving New Authorisation and Variation of Permission applications from Investment Managers subject to MiFID and AIFMD.
Steph also has 7 years’ experience within the Supervision Hub (previously Contact Centre) where she developed an excellent understanding of the FCA rules and how they apply to different business models. She also assisted firms in answering regulatory queries; helping to complete forms on Connect; and submitting data items on RegData.
Steph has completed the CISI Level 3 Award for Introduction to Investment and will be continuing studies with the CISI.
Peter Timson
Peter has 12 years’ experience in financial services and compliance related roles (at the Financial Ombudsman, within regulated firms and as a compliance consultant).
Peter has four years’ experience working as a compliance consultant, most recently at Kroll (previously Kinetic Partners/Duff & Phelps). During his time there, Peter supported Appointed Representatives (ARs) as part of the in-house regulatory hosting business and brings with him a wealth of experience and knowledge of the Appointed Representative Regime. His responsibilities included leading on AR onboarding, AR monitoring and supporting senior management at the Principal firm in making critical decisions to ensure compliance with FCA rules and best practice.
Peter also has experience providing compliance monitoring support to fund and asset managers/corporate finance firms and assisting firms with authorisation applications.
Peter has completed the Level 3 CISI Investment Operations Certificate and graduated from Liverpool John Moores University with a BA Hons in Politics.
Sean Campbell
Sean has over 10 years' experience in financial services, the majority of which has been in compliance.
This has included several years serving as a consultant to regulated firms in the investment management and retail investments sectors. Sean assists clients throughout the lifecycle of becoming and being an FCA-regulated firm; from regulatory perimeter guidance, applying for authorisation, establishing and running an appropriate control framework, and adapting to regulatory change on an ongoing basis. Notable recent work includes supporting a leading crowdfunding platform through a s166 review with a favourable outcome for the firm, and advising many firms on implementing the new Consumer Duty.
Additional experience includes in-house compliance roles at the global wholesale division of a large Dutch bank in Utrecht, and at a leading investment wrap platform in London.
Before moving into compliance, Sean spent several years in front-office roles in the wealth management and retail investments space. This has given him an appreciation of how things work 'on the ground' which he employs in devising practical and pragmatic solutions to client problems.
Sean holds an LLM (Public International Law) from Leiden University and an LLB (Law) from the University of Aberdeen. Sean also holds the CISI Level 6 Diploma in Investment Compliance.
Richard Revill
Richard has 20 years’ experience in financial regulatory compliance and consultancy, with overlapping software development, information management and technology experience.
Richard’s specialisations include helping clients with capital adequacy assessments, risk assessment and risk management, prudential reporting (including COREP, FINREP and Annex IV), software development and software project management, systems content provision and workflow design.
He is recognised by clients for his intelligent approach and problem solving skills.
Paul Wilding
Paul has significant experience in the compliance industry having worked at the FCA for several years and continuing to help regulated firms as a consultant ever since (either at a consultancy or directly with firms). Paul’s work as a consultant has seen him work with a variety of firms, from retail to wholesale and investment business to insurance and mortgage firms.
Paul spent time in the Authorisations Department at the regulator, dealing with authorisations, variations of permissions and other regulatory applications.
Paul provides advisory support and also helps principal firms with monitoring of appointed representatives.
Paul has a degree in law and continues to volunteer at the Citizens Advice Bureau.
Hema Vyas
Hema has 10 years’ experience in the compliance industry, working at the financial ombudsman service before moving into roles as a compliance officer. Her time working at firms provides her with a great insight into the demands of the role and issues faced by those working in house.
Hema’s more recent roles include working within an asset management firm’s compliance function and working within a compliance consultancy before spending time at BDO.
Hema is Level 4 graduated and currently working towards Level 6 Diploma in Investment Compliance from the Chartered Institute for Securities and Investment.
Lisa Maria
Adviser
We are delighted to have Lisa as an adviser on Human Resource issues, conduct, culture and diversity and inclusion.
Lisa’s prior roles include senior HR positions at the British Broadcasting Corporation (BBC) and blue chip firms. Latterly Lisa spends time travelling across the UK advising public sector workers on issues relating to diversity, inclusion and specific aspects of conduct and culture pertinent to the role of the police or other sectors.