Garry Appleton's Location
Fleet, England, United Kingdom, United Kingdom
Garry Appleton's Contact Details
Garry Appleton work email
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Garry Appleton personal email
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Garry Appleton phone numbers
About Garry Appleton
Currently the Managing Director for Flying Colours Advice Limited and a Director of Flying Colours Investment Management Limited.A highly experienced company director with over 40 years’ experience within financial services businesses (primarily in financial planning and investment management). Since 1995 has held several senior management roles and has been fully involved in setting the operational and strategic direction of the businesses that he has worked for.
Garry Appleton Work Experience Details
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Group Chief Executive OfficerFlying ColoursFleet, Gb -
Managing DirectorFlying Colours Nov 2023 - PresentBracknell, Berkshire, GbOverall responsibility for strategy and operations at Flying Colours independent financial planning business.
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Group Chief Operating OfficerFlying Colours Sep 2022 - Nov 2023Bracknell, Berkshire, GbGroup COO for Flying Colours group of companies, which includes its advisory and investment management businesses. Also holding the SMF3, SMF16 and SMF17 for Flying Colours FCA regulated businesses.
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Interim Head Of SalesFlying Colours Sep 2022 - Dec 2022Bracknell, Berkshire, GbInterim management of Flying Colours Advice Limited employed advisers and T&C oversight for the businesses Appointed Representatives.
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Director And Head Of Compliance & MlroFlying Colours Nov 2018 - Aug 2022Bracknell, Berkshire, GbExecutive Director holding SMF3, SMF16 and SMF17 roles, responsible for operational and strategic compliance, risk management, information security (Data Protection Officer) and Human Resources at Flying Colours.
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DirectorGma Consulting Solutions Jan 2018 - Jun 2022An independent compliance, risk management, information security and business continuity management consultancy business providing contract, interim management, consultancy and project services to financial services businesses.
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Director Of Compliance & MlroMoneybox Mar 2018 - Jan 2019London, England, GbResponsible for operational and strategic compliance (CF10), MLRO (CF11) and information security (Data Protection Officer) matters at Moneybox. In addition, I assisted Moneybox getting FCA client money and pension permissions. -
Head Of Risk & ComplianceTilney Group Aug 2016 - Dec 2017London, GbUpon the sale of the Towry Group to the Tilney Group I was appointed as the Head of Risk & Compliance and MLRO for the enlarged group. I held the overall strategic and operational responsibilty for the Tilney Groups Risk & Compliance function (holding the CF1, CF10 and CF11 responsibilities) and was a member of the Executive Committee. -
Head Of Risk & ComplianceTowry Jul 2014 - Jul 2016Bracknell, GbOverall strategic and operational responsibilty for Towry's Risk, Compliance, MLRO and Information Security functions (holding the CF10 and CF11 responsibilities) and a member of the Executive Committee. -
Head Of Risk & Compliance MonitoringTowry Jun 2013 - Jun 2014Bracknell, GbResponsibility for Towry's risk management and compliance monitoring functions. This covers the management of a team of seven and the design, implementation and execution of the compliance monitoring plan together with the oversight of the enterprise wide risk management framework, policy and processes.
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DirectorA Star Compliance Limited Jan 2013 - May 2013Following redundancy from Alexander Forbes I set-up an independent compliance and risk management consultancy to provide contract, interim management and one off project services to financial services businesses, whilst seeking a more permanent role. During this period I conducted a number of projects, these included working with a national retail investment intermediary, a London based high net worth wealth management business and a national invoice discounting/factoring business.
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Director (Regulatory, Legal & Audit Division)Alexander Forbes Feb 1999 - Dec 2012Sandown, Gauteng, ZaExecutive Director leading a team of 20 with overall responsibility for the compliance, MLRO, enterprise wide risk management, legal, internal audit, information security and business continuity management functions at Alexander Forbes in the UK and Channel Islands.As well as managing the Alexander Forbes risk management and compliance functions between February 1999 and December 2012, I have also managed the Premises & Procurement, HR, IT, Client Services, Healthcare & Risk and Internal Audit functions at executive director level at varying times as a result gaining significant operational management experience. I also held various directorships within the Alexander Forbes International Group of companies between 2001 and 2012. -
Compliance ContractorOld Mutual Group Jun 1998 - Jan 1999Johannesburg, Gauteng, ZaMy responsibilities included investigating client complaints (UK Regulated and International), producing clear and concise reports detailing the conclusions reached during the investigation process and costs to the company, communicating the investigation and decision making process to clients and providing compliance advice and guidance to the company’s team. -
Deputy Compliance Officer (Godwins Limited)Aon Jan 1997 - Jun 1998London, GbReporting to the company’s Compliance Director and controlling many of the departments operational functions I was responsible for managing the Compliance Managers, Assistant Compliance Managers and their Administrators. -
Group Compliance Officer (Combined Life)Combined Insurance Dec 1994 - Dec 1996Chicago, Illinois, UsOverall operational responsibility for the company’s compliance function. Operating on an autonomous basis and reporting directly to the company’s Chief Executive Officer I was responsible for managing and auditing the company’s compliance procedures to ensure that they met the regulators expected standards. -
Sales Administration Manager (Combined Life)Combined Insurance Feb 1987 - Nov 1994Chicago, Illinois, UsManaging the department dealing with the administrative functions related to recruitment, training and competence, statistics, budgets and financing arrangements for the life company’s direct sales force. One of the key functions of this senior management role was to provide the Head of Sales and his key executives with advice, guidance and counselling on strategic, budgetary and day-to-day decisions.
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Sales Administration ManagerCombined Insurance Dec 1982 - Jan 1987Chicago, Illinois, UsManaging the department which compiled and disseminated statistical data for the company’s direct sales forces and tracked the company’s sales expenditure to ensure that costs remained within the approved budget.
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Clerical OfficerHome Office May 1979 - Dec 1982London, GbWorking for the Home Office's Statistical Department I was a member of a small team collecting and formatting data for four annual publications. -
Sales AssistantBentalls Department Store Sep 1978 - May 1979Initially working in the sports department I later transferred to the department, which sold electrical goods.
Garry Appleton Skills
Risk Management
Financial Services
Investments
Wealth Management
Pensions
Management
Enterprise Risk Management
Employee Benefits
Financial Planning
Strategy
Finance
Operational Risk
Financial Risk
Retirement Planning
Compliance
Pension Funds
Investment Management
Internal Audit
Corporate Governance
Operational Risk Management
Insurance
Strategic Financial Planning
Financial Regulation
Anti Money Laundering
Defined Benefit
Complaints Management
Aml
Auditing
Fsa
Tcf
Complaint Management
Information Security Management
Defined Contribution
Regulatory Compliance
Garry Appleton Education Details
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Rivermead Secondary School
Frequently Asked Questions about Garry Appleton
What company does Garry Appleton work for?
Garry Appleton works for Flying Colours
What is Garry Appleton's role at the current company?
Garry Appleton's current role is Group Chief Executive Officer.
What is Garry Appleton's email address?
Garry Appleton's email address is ga****@****app.com
What is Garry Appleton's direct phone number?
Garry Appleton's direct phone number is +4478807*****
What schools did Garry Appleton attend?
Garry Appleton attended Rivermead Secondary School.
What are some of Garry Appleton's interests?
Garry Appleton has interest in Golf, Running And Diy.
What skills is Garry Appleton known for?
Garry Appleton has skills like Risk Management, Financial Services, Investments, Wealth Management, Pensions, Management, Enterprise Risk Management, Employee Benefits, Financial Planning, Strategy, Finance, Operational Risk.
Who are Garry Appleton's colleagues?
Garry Appleton's colleagues are Luca Gilfillan, Selina Butler Cemap, Simon Stygall Apfs, John Varley, Nick Tattersall, Renzo Desbordes, Cfa, Caia, Fdp, Lynn Groves.
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