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I am an experienced, innovative and resourceful Financial Services professional who has the Financial Planning Certificate (FPC), Supervision and Sales Management (H15), Mortgage Advice Qualification (MAQ) and is also Chartered Institute of Professional Development in Training Practice (Merit) qualified. I am also currently studying for my JO5 exam in October 2009.

Work experience

Oct 2008Present

Compliance and Competency Manager


I have day to day supervision of 34 Self Employed IFAs across the North of England.

My role includes

  • Observing the advisers at point of sale
  • Completing 1:1s with the advisers
  • Identifying development areas and implementing and monitoring development plans, in line with the requirements of the T & C scheme
  • Organising the advisers annual assessments and ensureing prior to the exams that study plans and coaching have been delivered to prepare them for the exams
  • Working with the TCF Outcomes I ensure that each adviser is fully conversant with what TCF means from both the business and the clients perspective
  • Identifying risks to the business with suggested solutions/actions clearly documented in the management reports that are completed
Jan 2002Sep 2008

Business Skills Manager


I managed and developed 4 Business skills coaches (BSC) who worked all over England and Scotland .

My day to day activities included:

  •  Completing the BSC  1:1 meetings, agreeing and setting Personal Performance Plans, identifying individual and group training needs for the team and resource planning for the Business
  •  Owning  the “Training and Competence”  scheme and as such it is was my responsibility to ensure that it worked within the FSA regulations and also met  the requirements of the Business
  • Monitoring the T & C scheme outputs and ensuring that all compulsory T & C scheme assessments were properly arranged, supervised and completed by my team, these included the Generic Annual Assessments and the Annual Observation/Competency Assessments
  • Ensuring that as a result of the assessments any development needs that were identified were transferred into Individual learning plans for the advisers and managers to complete
  • Overseeing the residential Induction course for the new advisers and managers, ensuring all assessments were appropriately supervised
  •  Coaching the new Advisers and Managers who  finished the Induction course so that Competent Adviser Status could be achieved 
May 2000Jan 2002

Training and Compliance Supervisor

Bishopcourt Financial Planning

My responsibilities included:

  • Implementing and maintaining the T & C Scheme of the company in accordance with the Regulators guidelines.
  • Training and Supervising 14 Independent Financial Advisers in the north of England, Scotland and Northern Ireland
  • Completing Observations, 1:1s, file checks, Training Needs Analysis for both the advisers and the region, designing, delivering and evaluating training that was given to the advisers/managers
  • Designing and delivering assessments days/interviews as part of the recruitment process for new advisers
Mar 1997May 2000

Financial Planning Manager

Friends Provident

I was responsible for the management, development and training of 8 Customer Service Advisers.

This included:

  • Compiling action plans where appropriate and giving feedback on the results.
  • Setting individual targets, collating and monitoring the team’s achievements as well as ensuring personal targets are met.
  • Compiling and checking Reason Why Letters for the whole of the team.
  • Completing Training Needs Analysis on the team and also for the individual advisers

Home Service Adviser

London and Manchester

Responsibilities included:

  • Maintaining a professional service at all times to old and new clients.
  • Full responsibility for the safe custody of client’s monies which meant maintaining a high standard of accounting.
  • Giving Financial Advice in all areas to existing and new clients ensuring I met all my business targets.

Recent work





O levels in 3 subjects including English Language and Mathematics

Financial Planning Certificate 1 Passed 1995.

Financial Planning Certificate 2 Passed 1996.

Financial Planning Certificate 3 Passed 1997.

Training and Supervision Course with Scottish Equitable passed 2000.

Successfully passed the H15 Supervision and Sales management exam in October 2001

Attended and passed the Liverpool Victoria Independent Financial Adviser Supervision Course for Supervisors and Senior Supervisors in January 2002.

Successfully passed the MAQ paper in October 2004

Achieved pass marks for the “Achieving success” programme that was delivered by the CII for Liverpool Victoria between July 2005 and October 2005 in the following subjects:

CII Integrated Financial Planning

CII Retirement Planning

CII Investment and Providing Advice

CII Protection Module

T & C Video Observation Assessment

Attended and passed the Foundation Course in Coaching with the Institute for Managers and Leaders in June 2006

Achieved a “Merit” in the Chartered Institute of Professional Development (CIPD) in Training Practice in 2008

Currently studying for the JO5 exam in October 2009