Nicholas Scarrett Email & Phone Number

Bath, GB

Cirencester, Gloucestershire, GB

Responsible for aligning the SJP Partnership & Field Management Team (FMT) to corporate strategy. Serving as the primary contact and representative in all corporate strategy definition and evolution, sensitive projects and change programmes, and collaborating with cross-functional teams to represent the interests and advocate on behalf of the Partnership &.

Cirencester, Gloucestershire, GB

• Responsible for the FCA supervisory relationship.
• Managing a Team of Compliance professionals providing support/guidance on SMCR, FCA regulations and advice related issues.
• Advising and reporting to Risk Committee and Boards.
• Member of distribution focused steering groups and committees providing advice on AR remuneration, vulnerable clients, defined benefit advice, generic financial advice and advice risk.
• Providing advice and support to key projects including Consumer Duty, AR oversight, ongoing suitability & advice, British Steel redress scheme and governance review.
• Maintaining the SMCR framework including MRMs, SMF applications/handovers and SoRs.

Cirencester, Gloucestershire, GB

I head up the Compliance Monitoring second line team which is part of the Group Risk and Compliance function. I am responsible for:- designing the annual compliance monitoring plan and presenting it to the Board Risk Committee for sign-off- presenting plan progress and challenges to executive and non-executive directors- providing compliance input to.

Bristol, GB

Non-executive Director, Board Member, Consumer Duty Champion and Chair of the Risk Committee

London, London, GB

Responsibility for Advisory Compliance for the Financial Planning and Wealth Management businesses of Sanlam in the UK. This included membership of the EXCO and Boards. My team supported the business strategy and provided regulatory guidance and expertise to the businesses.For the last year of my role I ran the 150 AR Network purchased by Sanlam.

As Head of Compliance I held the CF10 and CF11 controlled functions and ran the Compliance and T&C teams. I was also a permanent member of the Distribution EXCO that was responsible for running Sanlam Wealth Planning. As a member of the EXCO I was heavily involved in the business strategy including proposition development, recruitment, marketing and.

Reading, Berkshire, GB

Providing Regulatory and Performance Improvement Consulting to the Financial Services Industry.Assisting clients across a diverse range of industry issues where the regulatory landscape is constantly changing including S166 reviews.Providing advice on sector issues including RDR, MMR, wealth management and complaint handling (including management.

Bristol, Avon, GB

Offering Direct to consumer Investment and Pensions ServicesSetting up RDR compliant Advisory ServicesDeveloping new online business opportunities

Newcastle, GB

Main Duties: · Recruiting Financial Advisers in South Wales and along M4 corridor · Managing the implementation process of new recruits · Understanding and interpreting Financial Services market changes

Main Duties: · Setting up and running the business in a highly regulated environment · Delivering a profitable, compliant business · Defining a successful corporate strategy & refining strategy to comply with impending regulatory and market changes · Building strategic partnerships with Business Introducers, Product Providers and Fund Management Groups.

Main Duties: · Management of 12 individuals responsible for monitoring high-risk business conducted by the Network Members · Product and fund Research · Providing Technical advice and assistance to Network Members · Developing Suitability Letter Template system · Devising and implementing a risk based Compliance monitoring system · Providing training.

Main Duties: · Supervise 17 financial planning consultants in Bristol and Plymouth · Conduct observed calls and facilitate quarterly T&C meetings · Provide training & support to develop consultants and admin staff · Recruitment of Financial Advisers · Identify, monitor and remedy trends in key performance indicators · Compliance Auditing ·.

Main duties:· Complaint handling· Financial Promotions· FSA Visits and associated documentation· Training and Competence· Compliance Auditing· Providing technical help to sales force· CAS status & Pension Transfer Specialist (CF21 & CF24 registered)· Compliance Team Management· Planning, developing and writing internal sales forms and procedures

Masters Degree (Merit), Marketing

Foundation & Practitioner, Project Management

Bachelor Of Arts - Ba, Financial Services Management

Investment Management Certificate, Investments And Securities

Chartered Financial Planner, Financial Services

Fellow Cii, Financial Planning