A strong track record of in-house compliance success combined with a consultancy approach to regulatory matters make us your expert compliance partner for regulatory matters.

Mr David Goodley

Principal Consultant

Background

 David has over 15 years experience as an in-house compliance officer in the insurance sector for Lloyds TSB, Marsh, Barbon Insurance Group and Tesco Bank.  David joined Callidus Solutions in 2010, spending 18 months learning to combine strong technical knowledge with consultancy expertise.

Areas of expertise

• FCA Authorisations, additional permissions and change in control applications
• Developing governance regimes to meet regulatory requirements
• Implementing systems and controls ensure compliance with FCA Rules
• Managing the compliance obligations in respect of networks of appoitned representatives
• Regulatory reporting and oversight of client money arrangements
• Risk identification, assessment and management.

Ms Adele Astle

Compliance Consultant

Background

Adele is an experienced finance and financial services professional, who has been with City Compliance since 2015. In addition to driving the financial, operations and compliance for a start-up broker / MGA, Adele has led and managed teams focused on operations, finance and credit control, achieving the AAT qualifications.

Areas of Expertise

• Appointed Representative and Approved Persons Applications
• FCA Returns (RMAR)
• Financial Promotions - Client documentation / website reviews
• Compliance Monitoring Programmes

Adele also handles the operations requirements for City Compliance (e.g. Contracts and Finance) etc. 

Ms Victoria Young 

Finance & Compliance Officer

Background

Victoria is an experienced accounts professional with over 20 years of experience held in accounts/finance positions within a wide variety of sectors including insurance and secured loans. Victoria undertakes the accounts function at City Compliance, also providing a book keeping service to our clients and assisting with compliance duties where required.

Areas of Expertise

• Sales and Purchase Ledgers
• Bank Reconciliations
• BACS and International Payments

Ms Ella Griffiths 

Compliance Administration Assistant

Background

Ella joined City Compliance as part of an apprenticeship programme in 2018. Ella assists with the compliance administration at City Compliance.

Areas of Expertise

• Document Drafting and Production
• File Maintenance and Administration