• Haven Risk Management

About Haven Risk Management

David Williams

David Williams – Managing Director

David joined the financial service industry in 1984 and worked in direct sales and as an IFA for 12 years before moving into technical training and compliance consultancy in 1996. He is the author of several technical manuals and acts as an expert witness for a national firm of lawyers.

David is an Associate of the Personal Finance Society, a Fellow of the Compliance Institute and a Fellow of the Chartered Management Institute.

Nichola Houghton

Nichola Houghton – Director

Nicki has worked in the financial services industry for nearly 30 years with 23 years compliance and T&C experience. She has vast experience in undertaking IFA audits, reviewing 2nd line compliance policy and procedures, auditing of T&C Schemes and conducting adviser and supervisor competency sales and 1:1 assessments. She works with both independent and restricted financial advisers, Friendly Societies and has comprehensive knowledge of the FCA handbooks. Nicki is an original member of the Compliance Institute Ltd and a Member of the Chartered Insurance Institute.

Diana Jones

Diana Jones – Business Manager

Diana worked for 22 years as a chief administrator in the private healthcare sector before taking a break in her career to have a family. She joined the Haven team in 2001.

Diana coordinates and manages the disparate range of talents within Haven Risk Management.

Alison Smith

Alison Smith – Consultant

Alison has experience working as a team leader for a national compliance consultancy and also for the FCA. She is a Chartered Financial Planner and an Associate of the Personal Finance Society.

Peter Talbot

Peter Talbot – Consultant

Peter comes from a strong Financial Services background. He was a sales manager with Legal & General for 6 years before joining a leading firm of Coventry IFAs. In 2007 he formed his own independent practice which became very successful and he sold up to ‘spend more time with his family’. His family having seen enough of him, he has now come back into the workplace and is using his considerable experience to help guide firms through regulatory compliance issues. Level 4 and MAQ qualified, Peter is also our mortgage expert.

Helen Clayman

Helen Clayman – Consultant

Helen has more than 20 years’ experience in the Financial Services industry – with a short time as an adviser and the majority in various compliance roles looking after directly authorised IFAs and mortgage brokers. She is a member of the Personal Finance Society, The Society of Mortgage Professionals and The Chartered Insurance Institute.

Stuart Lythgoe

Stuart Lythgoe – Consultant

Stuart practised as a barrister at Old Steine Chambers in Brighton before joining the Army Legal Services, where he rose to the rank of Brigadier. He is now a financial crime and regulatory compliance consultant to the financial services sector. Stuart specialises particularly in the fields of Anti Money Laundering – including remediation projects -Data Protection and Complaints Management.

Susan Mawhinney

Susan Mawhinney – Consultant – New Caledonia Compliance Ltd

Susan runs New Caledonia Compliance Ltd which is in partnership with Haven Risk Management and provides compliance and training services to firms in central and northern Scotland.

Catherine Lumb

Catherine Lumb – Regulatory Consultant

Catherine is a Director of Compos Mentis (Training) Limited and has a career spanning nearly 30 years in the financial services industry. She specialises in compliance for discretionary firms and unregulated collectives.

Robert Wharton

Robert Wharton – External Legal Consultant

Robert Wharton has been in the world of financial services for over 20 years. He leads a team with specialist financial services regulation expertise including with regard to acquisitions and disposals.

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