Nic’s role at HDA is to ensure the highest standards of compliance with our regulator, the Financial Conduct Authority (FCA).
Day to day, I keep up to date on the latest rules and guidance from the FCA and interpret them for our business. I am continually checking that we adhere to the relevant regulatory requirements, rules and policies. I undertake regular file checks and ensure that our planners are up to date with their continuing professional development.
I’m married to Rich and mum to two school-age children. I’ve lived in Cheltenham for the past 27 years, but coming from County Durham, I’m a northerner at heart! I enjoy family days out, lots of fresh air and walks in beautiful surroundings. I also like relaxing, watching TV and cuddling my cat, Domino.
The CISI Diploma in Investment Compliance is for practitioners who wish to pursue a career in compliance and, in particular, those employed at a supervisory level aspiring to a senior management role.