About Haven Risk Management
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.
David is an Associate of the Personal Finance Society, a Fellow of the Compliance Institute and a Fellow of the Chartered Management Institute.
Nicki has worked in the financial services industry for nearly 30 years with 23 years compliance and T&C experience. She has extensive experience with both independent and restricted financial advisers and a comprehensive working knowledge of the FCA handbooks.
Diana joined the Haven team in 2001. She oversees the administration and smooth running of the business to ensure that the service provided to Haven’s clients meets their expectations. Diana is also the central point of contact for clients.
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 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 he subsequently sold to spend more time with his family. He now uses his considerable experience to help guide firms through regulatory compliance issues and is also our mortgage expert.
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 practised as a barrister at Old Steine Chambers in Brighton before joining the Army Legal Service. He is now a financial crime and regulatory compliance consultant to the financial services sector.
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 is a Director of Compos Mentis (Training) Limited and has a career spanning nearly 30 years in the financial services industry. She provides specialist advice for IFPRU firms subject to CRD IV and works with Haven to produce the monthly news notes & compliance manual.
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.