Joanne Roberts FSA Compliance Expert
Joanne Roberts FSA Compliance Expert
Chartered Financial Planner
Director
Joanne Roberts FSA Compliance Expert is a Compliance Guru.
She has specialised in Financial Services Compliance for over 15 years.
She is a Principal, registered IFA, an FSA Compliance Expert, a registered supervisor and manager and a qualified and authorised individual to transact the specialist activity of pensions transfers advice.
Her main role is that of an FSA Compliance Expert Officer where she monitors, supervises, trains and establishes the rules that ensure compliance with regulatory bodies.
She reviews, writes and maintains all the technical compliance service documents that are available on this site.
Joanne Roberts FSA Compliance Expert also writes, maintains and updates Compliance Procedures, Reporting Procedures and Training and Competence Procedures for various practices as well as offering professional compliance related services for regulated firms that she assists.
Formerly with one of the largest new home build IFA's in the UK, she was also at Towry Law Group where she specialised in providing compliance monitoring, technical investment, trust and inheritance advice to their advisers and high net worth clients.
Prior to this she was an IFA at Co-operative Bank Financial Advisers and at Lloyds Bank Insurance Services.
Her most recent works include assisting a number of both large and smaller organisations with preparation for FSA application and authorisation approval as well as authoring a whole series of compliance packs to assist regulated firms with the raft of new regulations that land on regulated firms doorsteps seemingly everyday.
