Ben was Chief Executive Officer of Compliancy Services for more than 10 years, before becoming Executive Chairman in 2020 and then moving to a Non-Executive Director role in March 2021. He was a key figure in Compliancy Services growing from a micro business to one of the leading independent providers of compliancy consultancy and regtech services. Today he remains a major shareholder and an important adviser to the Board.
Prior to joining Compliancy Services in 2004 Ben occupied senior management positions, which included managing European M&A for a subsidiary of GMAC and as Operations Director for a specialist UK provider responsible for a number of asset management activities.
Whilst serving in an executive role at Compliancy Services, he specialised in providing compliance, governance and risk advice to boards of banks and regulated companies and assisting new firms to become authorised by the FCA and PRA for the first time. He has worked with firms across a number of financial services sectors, in particular leading the applications for banks, investment and fintech firms. This includes supporting sectors that were facing FCA regulation for the first time such as consumer credit and cryptocurrency. For five years up until 2018 he served as Chair of the Association of Professional Compliance Consultants' Authorisations Working Group where he regularly liaised with the FCA authorisations team to help them consider improvements to the applications process.
Ben also serves as Chief Executive Officer of My Compliance Centre, a compliance management platform that has all the tools that firms regulated for financial services need to comply with their regulatory obligations. His passion for regtech and the value it can bring to compliance management led him to launch this new business in 2020.
Philip has over 35 years of financial services experience, 31 of which have been in UK Compliance. He has extensive knowledge of both retail and wholesale compliance responsibilities and obligations, the last 10 of which have been predominately focused on the wholesale sector.
Before joining Compliancy Services, Philip spent 10 years working with ACA Compliance based in London. He was jointly responsible for a team of over 50 compliance professionals and a turnover of £11m. He joined the ACA group as part of its acquisition of Cordium in September 2018. At that time he was a Managing Director responsible for Cordium’s UK Compliance practice.
His first role in compliance was in 1995 when he worked as an Enforcement Officer for the Life Assurance and Unit Trust Regulatory Organisation, known as ‘LAUTRO’. He then spent subsequent years in compliance roles for The Hartford, that served the UK IFA market, with Compliance First (now part of SimplyBiz) and with National Australia Group.
He has extensive hands on technical knowledge experience with IFAs, banks, hedge funds, private equity/venture capital firms, corporate finance firms, and other more niche regulated and unregulated entities.
Gary is a Senior Consultant within our Capital Markets team and a core member of our Prudential practice. He provides day to day compliance support to a range of clients across the investment sector, managing a variety of projects and providing specialist advice. Gary specialises in supporting Investment Management, Corporate Finance and Crowdfunding clients, helping them to maintain their compliance and meet their regulatory obligations.
Before joining Compliancy Services in 2011, Gary worked in a number of compliance roles, most notably, Compliance Director for a Financial Services Group that includes a Financial Advisory and Investment Management arm. While in this position, Gary held FCA controlled functions CF1, CF10 and CF11 (now SMF3, SMF16 and SMF17) and was responsible for all compliance matters within the group. After nine years in this role, Gary joined Compliancy Services.
In addition to his extensive experience, Gary also holds a number of qualifications including a Diploma in Business and Finance and a Level 4 Diploma in Financial Planning from the Charted Insurance Institute (CII). Gary is also an active member of the Association of Professional Compliance Consultants (APCC) Investment Firms Prudential Regime (IFPR) working group.
Outside of work Gary has many sporting interests but has a special place in his heart for his football team, Arsenal, who he has been a season ticket holder for, for over 35 years.
David is a Consultant within our Payment Services team. He is responsible for the delivery of consultancy services and specialises in supporting firms with their FCA authorisations, AML registrations and the management of their ongoing compliance obligations. In addition to his knowledge of the payment services sector, David also has an avid interest in cryptoassets and represents Compliancy Services in our membership with CryptoUK.
David joined Compliancy Services in 2017 as part of our graduate programme after working in the International Affairs Office at the Central Bank of Venezuela for four years. Since starting with Compliancy Services, he has worked with a vast portfolio of clients and joined the Association of Compliance Consultants (APCC) Crypto working group as an active member.
David has a CISI Level 3 Award in Combatting Financial Crime, a Financial Institutions Specialist MSc from Andres Bello Catholic University (UCAB) and a BSc in Economics from Central University of Venezuela (UCV). David was also awarded the Chevening Scholarship Award (Scholar 2016-17) by the Foreign Commonwealth Office UK. Chevening Scholarships enable outstanding emerging leaders from all over the world to pursue a one-year master’s degrees in the UK, allowing David to achieve an MBA in Global Banking and Finance from the University of Birmingham.
Dimitrios is a Consultant within our Capital Markets team. He offers support and guidance to our clients helping them to maintain their compliance and keep up with their regulatory obligations. Dimitrios specialises in providing senior managers and compliance officers with bespoke support and has an adept knowledge of SM&CR, High Level Standards (PRIN, SYSC, COCON, COND, APER, FIT), Business Standards (COBS, PROD), Regulatory Processes (SUP), Specialist sourcebooks (FUND) and Regulatory Guides (PERG).
Before joining Compliancy Services, Dimitrios spent over three years’ providing compliance services in the UK, with his most recent experience coming from ACA Compliance Group (previously Cordium Consulting). During the course of his previous roles, Dimitrios worked with a diversified capital markets client portfolio and co-led the SM&CR implementation project for a government backed development finance institution in 2019.
Dimitrios also highly qualified, with a Bachelor of Laws (LLB) from the Democritus University of Thrace, a Banking and Finance Law LLM from Queen Mary University of London and three additional qualifications from the Chartered Institute for Securities & Investment (CISI, where Dimitrios is also an associate).
In addition to compliance consulting, Dimitrios has also been a professional radio producer and presenter and served in the Military Police Corps in the Hellenic Army. When he isn’t working, you can find him playing his acoustic guitar or watching his favourite genre of cinema, Sci-fi.
Harpartap Singh is responsible for the for the development and expansion of Compliancy Services’ prudential services offering and client service delivery.
He has substantial experience helping firms manage their prudential regulatory obligations, including ICAAP and ILAAP reviews; SREP remediation; GABRIEL / COREP reporting; recovery and resolution plans; wind down planning; regulatory capital restructuring; and M&A due diligence. Whilst he has substantial experience helping firms across all sectors to comply with their prudential regulatory obligations, his particular strength is helping investment firms and credit institutions.
He joined Compliancy Services in 2020 having spent four years leading Bovill’s Regulatory Capital and Liquidity Team. His career started in the mid-1990s as a barrister, before becoming a Chartered Accountant and Prudential Consultant in the early 2000’s working for consultancies including PwC, Grant Thornton and Buzzacott.
Harpartap is a regular speaker at conferences and industry seminars and regularly writes about the management of prudential risk.
Iain founded the company in 2003, and he is an adviser to the senior leadership team and provides services to our Mortgages, Insurance and Consumer Credit clients.
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.