Our Board
Iain Stephen - Major Accounts Director
Iain is a veteran of the finance services industry with over 25 years in banking, investments and insurance with Barclays, Citibank and NatWest banks and is formally qualified in both Banking and Accountancy. Iain is also a Chartered Management Consultant.
Iain is the founding Director of Compliancy Services, setting up the company in 2003. As Major Accounts Director Iain’s main focus is on large clients, which include a number of Plcs, household names and other large firms, providing board level support and guidance to clients’ compliance functions. Iain also has been responsible for ensuring many regulated firms gain their FSA license and has acted as a skilled person under section 166. Iain’s clients also benefit from his wide-ranging business and consulting experience.
Iain is a senior member of several industry organisations, providing input into the formation of policy and advising on lobbying. He is also a regular speaker on business and compliance matters.
Jayson Upton - City Markets Director
Jayson qualified as a solicitor in England and Wales in 1995 prior to entering the Compliance sector. Jayson has 14 years Compliance and Regulatory experience spanning the securities, futures and commodities markets as well as the wholesale and retail investments, equities, mortgage and insurance sectors. Amongst other roles, Jayson's experience includes the performance of market supervision of the London International Futures and Options Exchange (LiFFE), and the commodity exchanges for wheat and coffee derivatives. Jayson has previously spent over five years working for the regulatory authorities, including the Securities and Futures Authority (SFA), and the FSA as a Senior Associate in the Supervisory Division. During his time at the FSA, Jayson relationship-managed a number of investment firms working on Conduct of Business reviews, focused supervisory visits, enforcement actions and Thematic reviews. Additionally Jayson was a member of the FSA’s Corporate Authorisations Committee providing supervisory input into the authorisations and cancellations processes.
Jayson’s professional experience also includes several years as a Manager at Deloitte where he managed numerous projects for a range of clients including retail banks, major investment firms and networks. Whilst at Deloitte Jayson carried out many MiFID engagements and was seconded to the FSA to analyse the prudential requirements for Non-MiFID scope entities, resulting in Discussion Paper 07/04.
Jayson has also been a Senior Manager within the Group Compliance function of Barclays Bank PLC where he was responsible for retaining oversight of the Investment Banking and Wealth Management divisions. Jayson also performed the Compliance and Risk functions for PLUS Markets – a Recognised Investment Exchange.
Claire Wilkinson - Retail Director
Claire has over 20 years Financial Services experience across retail banks, mortgages, insurance, and investments. Claire's qualifications include FPC 1-5 and Advanced CeMAP.
Claire’s previous compliance supervision roles include working for the Mortgage Code Compliance Board as a regional Compliance Inspector. In this role, Claire assisted a number of firms, including large networks and other firms make the change from the MCCB regime to FSA regulation. She has also worked as Head of Compliance for one of the UK’s largest insurance and mortgage networks.
As Associate Compliance Director of RAMP, Claire provided FSA regulated compliance services to both small and medium sized intermediary firms. Claire has extensive knowledge and experience of the mortgage, insurance and investment markets.
Claire became involved in the regulation of sale and rent back at the start of its period of regulation and is probably the country’s leading SARB Compliance Consultant.
Ben Mason - Commercial Director
Ben is joint Managing Director of Compliancy Services and an experienced financial services professional. Prior to entering consultancy, Ben worked within the Full Service Leasing sector Managing European M&A as Business Development Director for Masterlease Europe, a subsidiary of GMAC. Prior to that, Ben held several industry operational roles. Ben is also an experienced Commercial Project Manager having worked on a range of projects including business integrations, acquisitions, restructures, business start-ups and IT project delivery.
Ben’s wide-ranging role at CSL encompasses responsibility for sales and marketing, operations and systems development.
