COMPLIANCE & DEVELOPMENT MANAGER
I joined Halifax Building Society in 1988 and held various roles during my time there until 2010. Having spent several years as a Business Development Manager, I moved into Financial Services in 1999 where I provided advice to clients on a variety of areas of Financial Planning.
I have also worked within the corporate sector where I was responsible for analysing and recommending lending solutions to local businesses. This gave me a good understanding of the needs of a Business to add to the experience I had gained within the personal finance sector.
Prior to joining Croft & Oakes, I was working within the RBS Group where my qualifications and skills were utilised through reviewing and analysing regulated advice given to retail clients. This specialist role paved the way for me to join Croft & Oakes in 2019 as their dedicated Compliance Manager, whilst at the same time continuing in the field of financial planning.
My focus has always been on the goals and aspirations of my client. Sometimes these can be obvious to both parties, but other times it is only through truly getting to know my client that these aspirations are revealed. Working together to find the right solution is key to successful planning.
In my spare time I am a keen sports fan and although my rugby playing days are behind me, I still find time to regularly visit my old club, Whitchurch RUFC.
I`ve been married to Jane for 29 years and we have 3 (grown up?) children and Ned, our chocolate Lab. You will find the 3 of us walking the hills of Shropshire as well as the mountains and coastal paths of Wales. As Jane will no doubt confirm, I am also a very active member of Wrekin Golf Club in Wellington.
Croft & Oakes – Jan 2019 to present
Compliance Manager and Independent Financial Adviser
RBS Group – 2015 to 2019
Area File Review Manager
Santander PLC – 2010 to 2015
Client Relationship Manager – Financial Planning
HBOS PLC – 1988 to 2010
Corporate Banking Manager
Personal Financial Adviser
Area Business Development Manager
I am a fully qualified Financial Planner accredited via the Chartered Insurance Institute holding a Diploma in Regulated Financial Planning (Dip CII).
Diploma in Regulated Financial Planning
Certificate in Financial Planning (CeFA 1,2 & 3)
Certificate in Mortgage Advice
RO1 – Financial Services Regulation & Ethics
RO2 – Investment Principles & Risk
RO3 – Personal Taxation
RO4 – Pensions & Retirement Planning
RO6 – Financial Planning Practice
CF2 – Investment & Risk
CF6 – Mortgage Advice
