Field Compliance

Gary Kershaw, Compliance Director

Telephone:

01484 439100

Fax:

01484 439101

Email:

g.kershaw@simplybiz.co.uk

Prior to joining SimplyBiz, Gary was a manager within a well respected compliance consultancy firm and before this he held a senior compliance position with the Bankhall Group. He has 10 years management and sales experience in financial services.

Donna Tordoff , Compliance Field Team Co-ordinator

Telephone:

01484 439113

Fax:

01484 439101

Email:

d.tordoff@simplybiz.co.uk

Donna acts as Personal Assistant to Compliance Director, Gary Kershaw. She is also responsible for coordinating the movements of the Compliance Field Team, arranging compliance visits for SimplyBiz members.

She graduated in 2004 with a BA (Hons) in Business & Human Resource Management.

In her spare time, Donna enjoys eating out and going to the theatre.

Claire Wilson, Assistant Compliance Field Team Co-ordinator

Telephone:

01484 439132

Fax:

01484 439101

Email:

c.wilson@simplybiz.co.uk

Claire graduated from Huddersfield University in 2004 with a BA in Business Management. She is also a member of the Chartered Institute of Management and has completed a Diploma in Events Management. Claire has previously worked for the United Kingdom Atomic Energy Authority at Sellafield.

In her spare time Claire is an avid shopper and enjoys reading.

Jason Kirk, Senior Compliance Field Manager

Telephone:

01484 439100

Fax:

01484 439101

Email:

j.kirk@simplybiz.co.uk

Jason has nearly 20 years experience in Financial Services. Roles held include Broker Consultant, Field Supervisor and Account Manager. He joined SimplyBiz in October 2004. He is Compliance Field Manager for Lancashire, West Yorkshire & Cumbria.<br><br>Jason's hobbies include most racquet sports including squash & tennis, listening to music and playing guitar and he enjoys going to gigs.

Richard Nuttall , Senior Compliance Manager

Telephone:

01484 439100

Fax:

01484 439101

Email:

r.nuttall@simplybiz.co.uk

Richard joined SimplyBiz in 2005 following 15 years industry experience. The majority of this time has been within a compliance environment and previously he was manager of a compliance support unit to the largest number of directly-authorised firms within the UK.

Based in Cheshire, in the North West of England, his leisure time is mostly dedicated to family activities.

Paul Wilby, Senior Compliance Field Manager

Telephone:

01484 439100

Fax:

01484 439101

Email:

p.wilby@simplybiz.co.uk

Paul holds the position of Senior Field Compliance Manager, supporting three members of the Compliance Field Team in the North of England and Scotland, whilst retaining a field role in the North East & Yorkshire. He covers seven member meetings across all three countries on Mainland UK. He has been with Simply Biz since May 2005. Paul is qualified to AFPC level and boasts over fourteen years experience in Compliance Officer roles.

Paul splits his football support between the mighty Darlington and Sheffield United & his Rugby League team is Castleford Tigers, he also has an interest in most sports.

Lesley Farrell, Compliance Field Manager

Telephone:

01484 439100

Email:

l.farrell@simplybiz.co.uk

Lesley Farrell has worked in the financial services industry since 1986, working for an authorised IFA practice, then a leading Friendly Society. She has worked in compliance since 1990 and is FPC qualified; she joined SimplyBiz in 2003 as a Compliance Field Manager and is currently looking after SimplyBiz members in the North West area.

As a scouser, there is only one hobby - supporting the only football club in Liverpool!

Joe Knowles , Compliance Field Manager

Telephone:

01484 439100

Email:

j.knowles@simplybiz.co.uk

Joe previously worked at the FSA for 5 years within Corporate Authorisation and processed Part IV Permission applications; he then joined SimplyBiz in 2003 and is currently the Compliance Field Manager for the South East. His responsibilities include compliance visits to authorised or soon-to-be authorised firms and the general compliance welfare of Simplybiz members in his area. Joe can be contacted for any compliance queries.

Mark Greenwood, Compliance Field Manager

Telephone:

01484 439100

Fax:

01484 439101

Email:

m.greenwood@simplybiz.co.uk

Mark has over twenty years experience in the financial services industry. His last six years were spent as a Field Compliance Officer for Tenet, where he conducted audits on M&E, Interdependence and LIME network members. Prior to this, two years were spent at United Friendly as a T&C Consultant, being responsible for fourteen district offices in England, Scotland and Northern Ireland. The 4 preceding years Mark worked at DBS in their Business Assessment team in Huddersfield reviewing the standard of client files for DBS members. Prior to this, he was a Financial Adviser for NatWest bank at their Oldham office providing advice to clients.

In the early nineties Mark was an agent for Britannic Assurance, servicing his area and providing advice to clients. The previous four years he worked in a variety of administration positions at CIS in their head office in Manchester.

Mark's hobbies include playing football and squash, and he is a fanatical Manchester City fan for his sins.

Marios Constantinou, Compliance Field Manager

Telephone:

01484 439100

Fax:

01484 439101

Email:

m.constantinou@simplybiz.co.uk

Marios has twenty two years financial services experience.

This includes thirteen years compliance experience of which most was with Royal Bank of Scotland. At RBS, Marios was part of a team responsible for ensuring that the group’s three salesforces, Private Banking (high net worth individuals), Independent Financial Services and Bancassurance were monitored and assessed and ensured that all the approved persons from the financial advisers, up to and including Regional Sales Directors, are adhering to the Regulators' and Banks' requirements.

The team took responsibility to assess the effectiveness of the Training and Competency Scheme and its implementation by all levels of the sales force. He initiated regular meetings with Training and Competency Supervisors and Area Sales Managers to ensure all regulatory risks were identified and dealt with and that the remedial action was appropriate and effective.

He also have seven years experience as a financial adviser, independent and tied, and also a period of two years as a Broker Consultant.

He is a committed Christian, and is actively involved with Fundraising, Prison work, hospital, home and mental health work. Marios is married with two beautiful children (aged ten and thirteen) and enjoys spending time with them.

James Gibson, Compliance Field Manager

Telephone:

01484 439100

Fax:

01484 439101

Email:

j.gibson@simplybiz.co.uk

James joined SimplyBiz as a Compliance Consultant in September 2006 after spending four years as a Customer Relations Manager with HBOS plc.

He holds the CeFA and CeMAP qualifications.

James is married and has a young son. In his spare time, James endures the lifetime punishment of following his beloved team, Sheffield United!

Chris Yates, Compliance Field Manager

Telephone:

01484 439100

Fax:

01484439101

Email:

c.yates@simplybiz.co.uk

Chris has 11 years experience in compliance roles within the financial services industry. Prior to joining SimplyBiz in September 2007, Chris was recruited by a mortgage network to set up the Compliance Department prior to the introduction of mortgage regulation. He has also worked for the CIS (twice!), United Friendly and Nat West.

Chris holds the AFPC and Advanced CeMAP qualifications.

In his spare time, Chris can be found on the golf course and is a lifelong suffering Manchester City supporter.

Stuart Marshall, Compliance Field Manager

Telephone:

01484 439100

Fax:

01484439101

Email:

s.marshall@simplybiz.co.uk

Stuart has been in the Financial Services Industry for over 27 years now and during this time he has experienced life as a building society clerk, a mortgage adviser, a company representative, a customer services/sales manager, a direct sales financial planning consultant, an IFA, an IFA supervisor and a compliance/technical consultant. This rounded experience is invaluable in helping him to take a holistic view of the industry today.

Stuart likes to spend as much of his spare time as possible with his family. Stuart takes an active part in coaching his son's football team & supports his daughter's involvement with the local brass band. While relaxing, he listens to his eclectic music collection and drinks French wine with his wife.

Victoria Stockdale, Compliance Field Manager

Telephone:

01484 439100

Fax:

01484 439101

Email:

v.stockdale@simplybiz.co.uk

Victoria joined the SimplyBiz team in June 2007 having previously worked for a specialist compliance consultancy where she experienced all aspects of working with financial services firms, from the production of documentation to the completion of IFA auditing work.

Her horse and Bertie the labrador keep her busy when away from work.

Mark Davies, Compliance Field Manager

Telephone:

01484 439100

Fax:

01484 439101

Email:

m.davies@simplybiz.co.uk

Mark has fifteen years industry experience, he previously worked for Pearl Assurance for thirteen years in a number of roles including sales, management and compliance. Since leaving Pearl he has been involved in setting up a Mortgage network and also working as a Compliance Officer for a major network. He joined SimplyBiz in April 2005 and currently looks after South Wales and the M4 corridor. Mark’s hobbies include all kinds of sport and travelling.

Richard Jones, Compliance Field Manager

Telephone:

01484 439100

Fax:

01484 439101

Email:

r.jones@simplybiz.co.uk

Richard has been working in Financial Services for 20 years, the last 13 of these in various Compliance and T&C roles covering provider, network, tied and IFA channels. He is well qualified having achieved his ACII, FPC, AFPC and CeRGI/CeMAP qualifications. Richard currently looks after member firms in Cornwall, Devon, Somerset and parts of Wiltshire & Dorset, undertaking all elements of the Compliance support services offered by SimplyBiz, i.e. initial visits, annual audits, compliance health checks and support, and T&C supervising duties. He is married with two children, and enjoys watching rugby, athletics and motor sport and keeping fit through cycling.

Susan Bolton, Field Compliance Manager

Telephone:

01484 439100

Fax:

01484439100

Email:

s.bolton@simplybiz.co.uk

Susan has 10 years experience in the financial services industry, and has worked in a variety of roles from Mortgage and Insurance Broker, to Regional Compliance Officer and Compliance Audit Manager. She is FPC, MAQ, CeRGI and CeLM qualified, has experience in both IFA and mortgage compliance, and has managed a team of compliance officers in the South East for a large mortgage network. She joined Simply Biz in February 2008, and looks after member firms in the South East from Sussex to Canterbury.

Susan lives in Hampshire with her husband, and whilst the majority of her spare time is spent hiking around the countryside in all weathers with their dog, she also likes to swim, read psychological thrillers, and spend hours trawling iTunes for new music.

Steven Howard , Compliance Field Manager

Telephone:

01484 439100

Fax:

01484 439101

Email:

s.howard@simplybiz.co.uk

Steven joined SimplyBiz PLC in November 2006 after working within Financial Services for the previous 20 years. His previous positions include working as an appointed representative for Legal and General, an IFA and most recently, the Principal of his own directly authorized Mortgage and GI firm. Steven has the FPC and CeMAP qualifications and is currently studying for the CeRGI qualification which he hopes to pass this year.

Steven is responsible for providing all types of Compliance support to member firms in Lancashire, Yorkshire and Derbyshire and would be lost without his satellite navigation system. In his spare time, Steven plays cricket for Saddleworth CC in the Summer and golf whenever he can find the time. He also follows the fortunes of the Oldham Athletic Association Football Club with his young son, James.

Deborah Eldred, Compliance Field Manager

Telephone:

01484 439100

Fax:

01484 439101

Email:

d.eldred@simplybiz.co.uk

Deborah is Compliance Manager, responsible for East Anglia and Northern Ireland.

She has 16 years financial services experience working in both sales and management and has spent the last 2 years in a compliance role.

She has a son and daughter who both work, but as they are still teenagers they do require looking after! The latest addition to the family is Alfie (a 1 year old Yorkie) who keeps her busy, as he loves walking and mud. Her other interests include watching football (armchair-based), playing darts, ten pin bowling, socialising, eating and drinking out with friends.

Carl Higgins, Compliance Field Manager

Telephone:

01484 439100

Email:

c.higgins@simplybiz.co.uk

Carl has worked in various capacities in financial services, Direct sales & Management, Bacassurace, Lending and Compliance. At board level, Carl has been responsible for Compliance and Insurance functions across Northern Europe and played a pivotal role in a Global Compliance team adapting common compliance regimes into EEA states, also Australia and India, prior to joining the intermediary sector once more and finally SimplyBiz in 2008.

Carl is FPC, CeMap & CeRcc qualified.

Carl is active in Motorsport and drives competitively most months of the year. He competed against DC at National level events in the 80’s & 90’s. DC always won!

Lynne Grieve, Compliance Consultant

Lynne has worked in the financial services industry for over 20 years, working mainly in a purely compliance function for over 10. Prior to joining SimplyBiz, as a Compliance Consultant, Lynne was a Compliance Officer for Mortgages plc, part of Merrill Lynch. She previously worked for DBS/Sesame in Huddersfield, National Australia Group, Skandia Life and various IFA firms.

Lynne is fully FPC qualified, as well as holding the Mortgage Advice Qualification and the Retirement Options Qualification. Lynne is currently undertaking a law degree as a part-time mature student at Caledonian University, and the finishing line is within sight.

When not studying , Lynne likes to travel, go to concerts, keep fit, read, do a bit of charity work for Cancer Research, Scottish SPCA and Dog’s Trust and is a keen football, tennis and F1 fan.

Mandy Rimmer, Compliance Consultant

Mandy joined SimplyBiz in September 2008.

She has 25 years experience within the Banking and Financial Services Industry. After leaving school she worked for, what was then TSB Scotland, for 5 years. She left TSB to go for an extended trip to Australia.

Upon return she worked with National & Provincial Building Society, before finally moving on to work with a variety of smaller IFA businesses, carrying out a variety of roles, including administration, office management, compliance and latterly advising.

She enjoys music and going to concerts. She 'does a bit of running' and last season got back into her old hobby of skiing. She is now attempting to learn how to snowboard with her son……although the snowboarding is a recent venture and it’s hard work so it might not last long!

Personal.