Operations - Helpdesks
Operations - Helpdesk
Richard Brough, Head of Regulatory Policy
Telephone:
01484 439103
Email:
Richard commenced his career within the financial services industry working as an agent for Britannic Assurance. Prior to joining financial services he worked as a manager within a multinational retail organisation. Richard has held numerous senior compliance roles and has been at SimplyBiz since early 2004.
Richard is responsible for providing compliance policy guidance throughout the SimplyBiz group, responding to FSA consultations and works with trade & professional bodies on topical issues. He also has the responsibility for communicating to firms on regulation and legislation issues.
Richard is responsible for providing compliance policy guidance throughout the SimplyBiz group, responding to FSA consultations and works with trade & professional bodies on topical issues. He also has the responsibility for communicating to firms on regulation and legislation issues.
He's passionate about keeping ahead of change and holds the CII Advanced Financial Planning Certificate, Certificate in Mortgage Advice Practice and Certificate in Regulated Customer Care qualifications.
Kelita Crocker, Head of Compliance
Kelita has worked within the Financial Services industry for over 10 years, specifically within the compliance function.
Kelita heads up the internal compliance team within Simplybiz which includes the Compliance Helpdesk, Applications team and Agency team.
In her spare time, Kelita’s passion is Taekwondo and she trains 3 to 4 times a week. In addition, she regularly takes part in fund raising sporting events to rise money for charity.
Kelita heads up the internal compliance team within Simplybiz which includes the Compliance Helpdesk, Applications team and Agency team.
In her spare time, Kelita’s passion is Taekwondo and she trains 3 to 4 times a week. In addition, she regularly takes part in fund raising sporting events to rise money for charity.
Chris Kilner, Compliance Consultant
Chris has been with SimplyBiz for six years and is an integral part of the office-based compliance team, who regularly take member compliance queries over the phone, as well as assessing regulatory documentation including advertisements, disclosure documentation and firms' stationery etc. Keeping up-to-date with the FSA rulebook forms a key part of Chris’s daily activities and this assists him in producing guidance and overviews on topical industry matters.
Chris is a keen sportsman, playing both football and cricket for local teams as well as representing SimplyBiz in a few five-a-side football friendlies and cricket friendlies.
Chris is a keen sportsman, playing both football and cricket for local teams as well as representing SimplyBiz in a few five-a-side football friendlies and cricket friendlies.
Andrew Bradbury, Compliance Consultant
Andrew joined SimplyBiz straight from University in July 2003 and has built up an extensive knowledge of the FSA Part Four Permissions Application process in his time here.
As Authorisations & Permissions Manager, Andrew runs the team that guide new (not yet directly regulated) member firms through the authorisations process at the FSA and help existing members manage their permissions.
Away from work Andrew is a keen cricketer and a more than able badminton player.
As Authorisations & Permissions Manager, Andrew runs the team that guide new (not yet directly regulated) member firms through the authorisations process at the FSA and help existing members manage their permissions.
Away from work Andrew is a keen cricketer and a more than able badminton player.
James Chapman, Compliance Consultant
Telephone:
01484 439170
Email:
James has worked within the Financial Services industry since 1995 working for various firms including DBS & Trigold. He has a wealth of experience in the Mortgage, GI and Equity Release sector.
James has spent the last 5 years specifically working in Compliance within roles as a Field Compliance Consultant and Head of Compliance.
James joined the SimplyBiz team in November 2009 as a Compliance Consultant.
In his spare time he enjoys most sport & socialising.
James has spent the last 5 years specifically working in Compliance within roles as a Field Compliance Consultant and Head of Compliance.
James joined the SimplyBiz team in November 2009 as a Compliance Consultant.
In his spare time he enjoys most sport & socialising.
Sarah Napthine, Compliance Adviser
Sarah has worked in Financial Services for 5 years, including a year with a specialist compliance consultant.
Sarah Joined SimplyBiz in 2007 and works on the Operations Helpdesk where she assists members with compliance queries.
In her spare time, Sarah is something of an adrenaline junkie and undertakes many extreme sports as well as the more relaxing pastimes of photography, collecting vinyl, far-eastern cookery and supports the lovely Leeds United.
Sarah Joined SimplyBiz in 2007 and works on the Operations Helpdesk where she assists members with compliance queries.
In her spare time, Sarah is something of an adrenaline junkie and undertakes many extreme sports as well as the more relaxing pastimes of photography, collecting vinyl, far-eastern cookery and supports the lovely Leeds United.
Anna Hasler, Compliance Adviser
Anna has been in the Financial Services industry for 4 years now, previously working for a large network in the industry. Prior to this Anna obtained a degree in Psychology at the University of Huddersfield.
She joined SimplyBiz in April, splitting her time between the Agency/Novations department, and the FSA Authorisation department.
In her spare time she loves shopping, spending time with her friends, watching films, and travelling.
She joined SimplyBiz in April, splitting her time between the Agency/Novations department, and the FSA Authorisation department.
In her spare time she loves shopping, spending time with her friends, watching films, and travelling.
Stephen Wright, Compliance Adviser
Stephen has worked within the Financial Services industry for nine years, he joined SimplyBiz in 2005 and works in the Operations Department where he assists in various compliance tasks and queries from members.
Socially, Stephen enjoys playing cricket and football for his local teams.
Socially, Stephen enjoys playing cricket and football for his local teams.
Pam Harper, Compliance Adviser
Pam has worked within the financial services industry for twenty years and has held various roles with lenders and networks, mainly in the mortgage market. She has set up two mortgage networks in the past and has also been a mortgage adviser.
Pam joined SimplyBiz in September 2008 and works on the compliance helpdesk where she assists members with queries regarding compliance issues.
In her spare time she enjoys reading and going to the pub.
Pam joined SimplyBiz in September 2008 and works on the compliance helpdesk where she assists members with queries regarding compliance issues.
In her spare time she enjoys reading and going to the pub.
Aileen Lynch, Head of Technical Compliance Services
Aileen joined SimplyBiz in 2005 and prior to this was Group Compliance Manager for Cavanagh Financial Management Ltd. Before this she worked for Scottish Amicable, as a Compliance and Training Consultant. Aileen is responsible for delivery of robust technical support and manages our technical support unit.
She has a Diploma in Commerce from Caledonia University, and has achieved Chartered Status in Financial Management. She also holds the CeMap qualification.
She has a Diploma in Commerce from Caledonia University, and has achieved Chartered Status in Financial Management. She also holds the CeMap qualification.
Nicola Foy, Compliance Services Manager
Nicola joined SimplyBiz on the 7th April 2008 and is part of the Compliance Services Unit. She has 8 years experience in financial services working for Barclays Stockbrokers, Standard Life and an IFA firm before joining Huntswood in June 2005. While at Huntswood she was involved in bond and mortgage endowment reviews, and working as a paraplanner for a large UK bank and provider.
Nicola has a degree from Strathclyde University and a professional development diploma from Bell College. She also has full FPC, CF2, CF6 & CF9, CeRGI and has now completed the Diploma in Financial Planning.
When not working Nicola enjoys time spent with family and friends, going to the gym and holidays abroad.
Nicola has a degree from Strathclyde University and a professional development diploma from Bell College. She also has full FPC, CF2, CF6 & CF9, CeRGI and has now completed the Diploma in Financial Planning.
When not working Nicola enjoys time spent with family and friends, going to the gym and holidays abroad.
Jennifer Bolling, Compliance Services Consultant
Jennifer joined SimplyBiz on 16th March 2009 and is part of the Compliance Services Unit. She began her financial services career working for an IFA firm based in Glasgow City Centre, moved from there to one of the “Big 5” chartered accountancy firms and then on to Skandia and Clerical Medical. She then joined Huntswood in October 2005 where she worked extensively in resolving customer complaints about mortgage endowments, investments and PPI, and latterly worked as a paraplanner for a large UK bank.
Jennifer holds full FPC, Certificate in Regulated Customer Care, Certificate in Regulated General Insurance, Certificate in Regulated Complaints Handling and Certificate in Supervising in a Regulated Environment.
When not working, Jennifer enjoys skiing, running, holidays abroad and time spent with family and friends.
Jennifer holds full FPC, Certificate in Regulated Customer Care, Certificate in Regulated General Insurance, Certificate in Regulated Complaints Handling and Certificate in Supervising in a Regulated Environment.
When not working, Jennifer enjoys skiing, running, holidays abroad and time spent with family and friends.
Craig Brown, Compliance Services Consultant
Craig joined SimplyBiz in April 2008 and works as a Compliance Services Consultant, having worked in the Financial Services sector since 1990. He previously worked for Britannia Life, Wesleyan Assurance, Huntswood and, until recently, with an IFA.
Craig is FPC qualified and also has the Mortgage Advice, Equity Release and Long Term Care Insurance certificates, as well as a HNC in Business Administration.
He enjoys playing golf and skiing.
Craig is FPC qualified and also has the Mortgage Advice, Equity Release and Long Term Care Insurance certificates, as well as a HNC in Business Administration.
He enjoys playing golf and skiing.
Denise O'Hagan, Compliance Services Consultant
Denise has worked in the Financial Services industry for 9 years. She joined Alba Life when she left university in June 2000 and worked there for 5 years. She then joined consultancy firm, Huntswood in August 2005 where she worked for 4 years. Her experience is largely of regulated complaints and in particular the mis-sale of mortgage endowment policies. Her role at both firms has mainly been in Quality Assurance.
She has a degree in Financial Services, full FPC, CF6, CeRGI (Certificate in Regulated General Insurance) and CeRCC (Certificate in Regulated Customer Care).
When not working Denise likes to spend time with her two young daughters and she also enjoys the occasional night out or two with friends.
She has a degree in Financial Services, full FPC, CF6, CeRGI (Certificate in Regulated General Insurance) and CeRCC (Certificate in Regulated Customer Care).
When not working Denise likes to spend time with her two young daughters and she also enjoys the occasional night out or two with friends.
Martin McGee, Compliance Services Consultant
Martin has worked in financial services for longer than he cares to remember, having spent his formative years at Standard Life before moving to a national accountancy firm where he practiced as an IFA for around ten years. He has also had spells with two other IFA firms in technical/paraplanning roles prior to joining SimplyBiz.
Martin is FPC qualified and is working towards the Diploma in Financial Services.
Away from work he enjoys spending time with his family and his interests include football (more watching than playing these days), golf and being taken on long walks by his dog.
Martin is FPC qualified and is working towards the Diploma in Financial Services.
Away from work he enjoys spending time with his family and his interests include football (more watching than playing these days), golf and being taken on long walks by his dog.
Alan Ross, Compliance Services Consultant
Alan joined SimplyBiz in January 2010. He has worked in Financial Services for nearly 25 years and spent 13 years as a Financial Adviser with Bank of Scotland. Alan then joined Huntswood in February 2006 where he worked for 4 years, working on various different projects which included pension settlements and endowment, investment and PPI complaint handling.
Alan is a member of the Chartered Institute of Bankers in Scotland, has full FPC, CF6, CeRGI (Certificate in Regulated General Insurance) and CeRCC (Certificate in Regulated Customer Care) and has passed G10 (Tax and Trusts) as part of the Diploma in Financial Services
When not working, Alan likes to spend time with his family, going on holidays abroad and listening to most types of music.
Alan is a member of the Chartered Institute of Bankers in Scotland, has full FPC, CF6, CeRGI (Certificate in Regulated General Insurance) and CeRCC (Certificate in Regulated Customer Care) and has passed G10 (Tax and Trusts) as part of the Diploma in Financial Services
When not working, Alan likes to spend time with his family, going on holidays abroad and listening to most types of music.
Keeley Makin Dip PFS, Head of Technical
Keeley's responsibilities cover the smooth running of the Pensions Technical Helpdesk and offering support and assistance in relation to all pensions issues. She produces regular topical newsletters, technical guides and suggested pension documents as well as a range of other project work.
Keeley has over 20 years experience of running technical and transfer helpdesks with both DBS Financial Management and the Tenet Group and holds the AFPC including G60. She also holds several PMI Certificates and is a member of the Pension Transfer Analysis Forum - one of a group of providers and pensions technicians alike who meet quarterly throughout the UK to discuss pension issues. Keeley also worked alongside IFA practices in paraplanner roles, which enables her to have empathy and an appreciation of the difficulties that advisers face on a day to day basis.
Although Keeley is known for taking home HMRC updates to read in her spare time, we can assure you she is completely down-to-earth and approachable. Her personal objectives at SimplyBiz are superb customer service and assistance with all pensions issues.
Keeley has over 20 years experience of running technical and transfer helpdesks with both DBS Financial Management and the Tenet Group and holds the AFPC including G60. She also holds several PMI Certificates and is a member of the Pension Transfer Analysis Forum - one of a group of providers and pensions technicians alike who meet quarterly throughout the UK to discuss pension issues. Keeley also worked alongside IFA practices in paraplanner roles, which enables her to have empathy and an appreciation of the difficulties that advisers face on a day to day basis.
Although Keeley is known for taking home HMRC updates to read in her spare time, we can assure you she is completely down-to-earth and approachable. Her personal objectives at SimplyBiz are superb customer service and assistance with all pensions issues.
Helen Shepherd , Pensions Technical Adviser
Helen has worked within financial services for over 18 years which include a variety of roles for life offices such as Barclays Life, ZIFA and National Mutual. Additionally, she has worked in a Pensions Technical role for the Tenet Group and was a successful Paraplanner for a national firm of IFAs. This enables Helen to have an invaluable insight into the practical application of legislation and the pressures faced by our member firms. Helen is G60 qualified and also takes Revenue updates home, although not as often as Keeley does!
Helen joined the technical team in January 2006 and assists in providing a Pensions Technical helpdesk facility to all members, helps maintain the library of technical reference material available via the website and helps out with any ad hoc project work. Additionally, Helen is responsible for producing the monthly Investment Newsletter.
Helen joined the technical team in January 2006 and assists in providing a Pensions Technical helpdesk facility to all members, helps maintain the library of technical reference material available via the website and helps out with any ad hoc project work. Additionally, Helen is responsible for producing the monthly Investment Newsletter.
Martin Pickles, Technical Adviser
Martin Pickles joined the existing Technical Team to expand the services on the internal Helpdesk. Martin has worked within Financial Services for 24 years in a variety of positions including Broker Consultancy and as an IFA. Whilst he initially specialised in corporate areas of pensions advice, he later expanded his roles to provide technical advice on all areas of financial services.
Martin is the most recent addition to the SimplyBiz Technical Dept and holds a number of professional qualifications including G60 Pensions and G10 Tax & Trusts. His role includes offering trust and taxation support as well as supporting the busy Pensions Technical Unit.
Martin is the most recent addition to the SimplyBiz Technical Dept and holds a number of professional qualifications including G60 Pensions and G10 Tax & Trusts. His role includes offering trust and taxation support as well as supporting the busy Pensions Technical Unit.
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