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. Within this M&A role Ben was responsible for managing a number of transactions that doubled the group's asset base to $1bn AUM.
Before that, he held several industry operational roles, working as Operations Director for a specialist UK provider, responsible for a number of asset management activities such as asset pricing, valuation and funding.
He 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 role at Compliancy Services is to lead our highly skilled team responsible for banking and investment applications. At the time of writing Ben is managing two banking applications and approximately 20 investment applications of all types.
Ben has served as an active Board Member of the Association of Compliance Consultants (APCC) and led the APCC working group responsible for managing ongoing discussions with the FCA on authorisations and applications related issues. Ben has a Masters in Business Administration (MBA) and strongly supports Compliancy Services ongoing investment in its people and their professional development.
Iain is our Joint CEO, setting up the company in 2003, and heads up our Mortgages, Insurance and Consumer Credit sectors.
His 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 has significant experience of the financial services industry, including 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 also has been responsible for ensuring many regulated firms gain their FCA licence and has acted as a skilled person under section166. 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.
Kumar is our Managing Director and is responsible for all of our consulting activities in the Banking, Payments, Capital Markets and Asset Management sectors.
Kumar is an internationally experienced Counterparty Risk, Regulatory Compliance & Change and Risk & Operations Transformation Management Leader and trouble-shooter. He has extensive and diverse management and line role experiences within Banking Credit, Counterparty, Market & Operational Risk Management and Insurance spanning 28+ years in Europe and Asia.
He has galvanised and extended his skillset during the last 8+ years within Consultancy in areas of Advisory, Management and Execution to a spectrum of financial institutions whilst carving out specialisms in Forensic Risk Management, Regulatory Compliance & Strategic Credit and Counterparty Transformations. Kumar has gained a deep understanding of, including stakeholder impacts, both current and in-flight Financial & Banking regulations. His FCA secondment within Financial Benchmarks has given unique insights into the tri-party regulatory objectives in setting policy, the role of industry consultation and implementation.
Andrew is our Chief Financial Officer and is responsible for managing financial strategy and operations at Compliancy Services.
Andrew is a financial professional with over 30 years experience in a wide range of business sectors. Prior to joining Compliancy Services, Andrew served 5 years as the Finance Director of Fairfax I.S. PLC, a boutique Investment Bank in Mayfair, London. He has also served as the Chief Financial Officer of Stern Stewart & Co, renowned for being the EVA company, a worldwide management consultancy firm.
Andrew began his career in Audit where he trained to become a Chartered Accountant at RSM, and has audited clients within a wide range of sectors. As a Senior Audit Manager, he specialised in the Financial Services Sector where Rathbone Brothers PLC and its subsidiaries were one of his prestigious clients.
Andrew is a Fellow Member of the Institute of Chartered Accountants in England and Wales.
Paul is our Head of RegTech and responsible for the development and implementation of Compliancy Services’ RegTech strategy.
This includes product development, bringing new products to market and building their brand as a leading RegTech firm in defined areas where they can make a difference.
He is an experienced technology and business transformation leader with a successful record of shaping and executing strategy through complex IT and organisational change initiatives. Prior to joining Compliancy Services in 2017, Paul spent five years at the Financial Conduct Authority where he established and led the FCA's new RegTech team, driving strategy and fostering collaboration across the FinServ and FinTech communities.
Paul began his career in management consultancy specialising in business transformation and change management, performing leadership roles across industry sectors ranging from financial services; utilities; manufacturing; media; property investment and fund management.
Steve Robertson is our Head of Operations, leading and managing the team responsible for head office based client projects.
A long and varied career in the heart of the financial services industry has included some of our most prestigious financial institutions: Chief Operating Officer at Lawson Conner, an ‘Umbrella Hosting Platform; Head of the UK Trustee and Depositary division at HSBC; and senior roles with Lloyd’s of London, CRESTCo and The London Stock Exchange.
A Chartered Fellow of the Chartered Institute for Securities and Investment (where he also serves as an Educational Trust Trustee) and an alumnus of Kent Business School, where he obtained his MBA, he is also a Chartered Director and Fellow of the Institute of Directors (IoD).
John is our Payment Services Director and one of the UK’s foremost compliance experts in payment services, heading up our dedicated Payment Services Practice.
Assisting Banks, Payment Institutions and E-money Institutions manage their compliance and plan their future commercial strategies in the light of changing regulations, and has unparalleled experience of relevant payments legislation and regulation.
Immediately before joining Compliancy Services, John was Senior Manager, Compliance Advisory, for Global Transaction Banking at Lloyds Bank where he also acted as subject matter expert on payments. Prior to that he was the FSA’s Technical Specialist on Payments, dealing with the UK implementation of the Payment Services Directive and the 2nd E-Money Directive.
He was the first editor of the FSA’s PSR Approach Document and assisted with the development of PERG 15 in the Handbook, as well as assisting HM Treasury with the drafting of the UK legislation. At EU level he was a member of the European Commission’s Payments Committee, the ECB’s Forum on the Security of Retail Payments and the EBA’s Standing Committee on Consumer Protection and Financial Innovation.
Colin is the Client Project Director for our City Markets team, working mainly with clients in the Mortgage, Insurance, Corporate Finance, Wealth Management and CFD sectors.
Colin worked at HBoS for 33 years during which time he held senior positions in the branch network and Training departments. During the last 15 years at HBoS Colin worked in Risk and Compliance where he held the positions of Regional Risk Manager and Manager of Risk and Compliance for Retail Telephony Sales.
Colin is an Associate of the Chartered Institute of Bankers, Associate of the Chartered Securities Institute and holds a Diploma in Management Studies.
Andrew is a career financial services professional with over 15 years’ experience in a range of compliance, operational and financial crime risk.
Andrew works with a wide range of firms including Investment firms, Banks, e-Money Institutions and Payment Institutions on a variety of projects, including those involving financial crime frameworks, financial crime audits and training,
Prior to joining Compliancy Services in 2015, Andrew worked in a range of compliance, operational and financial crime risk roles, including Head of Compliance, Money Laundering Reporting Officer and Head of Payments at companies such as Worldpay and Moneycorp.
Andrew has a Diploma in International Anti-Money Laundering and a specialist Certification in Anti-Money Laundering in New Payment Products and Services, supplementing Master’s Degree in Business Process Modelling and Psychology of Work.
Val heads up the Customer Operations team, managing all first-line activities and resources in support of Compliance Select clients.
She has been involved in the financial services industry for over 30 years and has a broad knowledge of both Life and Pension products. Val has FPC qualifications and, in her spare time, supports workshops to help mature unemployed individuals get back into work. Val has worked for Aviva and Admin Re in Operations and 3rd party administration at all levels.
Val’s role in Compliancy Services is to manage all first-line activities and resources in support of Compliance Select clients and to liaise with other teams to provide best-in-class customer service.
Sonal joined Compliancy Services in August 2014 as Human Resource Manager.
Sonal has been instrumental in the growth of Compliancy Services, supporting its business ambitions and laying the foundations of its people function. Joining the business at a time when there were twelve employees, the HR journey has been extremely exciting, busy, challenging; and not least to say educating, given the ever evolving world of financial regulation.
Sonal's commitment to the HR industry spans over 20 years. She graduated with a Masters degree in Human Resource Management, is a Chartered Member of the Institute of Personnel and Development and is also a qualified psychometric professional. She has worked in a variety of industry sectors including financial services, recruitment, retail and charity, and has gained experience working in the Middle East. Sonal continues to develop and build on the HR foundations laid, ensuring company culture, values, business principles and key employee initiatives are delivered and meet business strategy.
Kirsty is our Marketing Manager and is responsible for developing, implementing and executing on strategic marketing activities across a variety of marketing tools.
in order to effectively maintain and grow the strong position of the Compliancy Services brand.
Kirsty has nearly 10 years B2B marketing experience covering a broad range of marketing activities including campaign management, events, social media and digital marketing. She holds a BA Hons degree in Marketing, as well as a Professional Diploma in Marketing from the Chartered Institute of Marketing.
Kirsty is responsible for developing, implementing and executing on strategic marketing activities across a variety of marketing tools in order to effectively maintain and grow the strong position of the Compliancy Services brand.
Jane is our Office Manager and also heads up our Central Admin team.
Jane has been involved in the financial services industry for over 30 years in a support role and has some knowledge of both Life and Pension products. In her spare time, Jane supports the local homeless with fundraising.
Jane's role at Compliancy Services is to ensure all aspects linked to operational needs and health and safety of our employees are managed efficiently, as an enabler to us delivering the best service.