Tim has worked in the Regulatory Advisory practice since joining the firm in 2001. He has over 20 years' experience in financial services, including extensive experience of advising regulated firms on compliance with UK and international rules and regulations. Tim has also worked as a regulator for the PIA, and also as a financial adviser.
Tim’s expertise includes:
- Corporate governance and board effectiveness reviews
- Control function (Risk, Compliance and Internal Audit) effectiveness reviews
- Skilled Person reports
- ARROW preparation and remediation
- Conduct of business, including suitability of advice, financial promotions, complaints and conflicts of interest
- Financial crime controls reviews
- Managing past business reviews
- Compliance monitoring
- Training and competence arrangements
- CASS reviews
Tim has also performed high profile interim compliance roles with two major life offices, a bank, an outsourcing firm and the FSA. He specialises in retail financial services.
- BA (Hons) Economics
- Financial Planning Certificate (FPC)
- Advanced FPC G60 Pensions