Simon Horsfall Email & Phone Number

Manchester, United Kingdom

Helpdesk and Compliance Assistant support on all compliance aspects of FCA regulation, guiding and supporting firms with Consumer Duty, Change in Control, SM&CR related issues including assisting firms applying to become directly authorised and the documentation required and interview support or individuals applying to become a senior manager (SMF functions) such as SMF3 or SMF27, or SMF16 or SMF17 roles for the first time and the requirements of the FCA and paperwork and interview support. Support with Connect based applications including Variation of Permission application, RegData and other regulatory returns, GDPR/Data protection and other regulatory issues. Assisting IFA businesses with compliance support and guidance, along with best practices to help the business foundations, prospects, and operational and regulatory-related issues. Good knowledge of FCA Applications, RegData, Connect, SM&CR, T&C and Consumer Duty. Providing support services in my roles for directly regulated pension, investment, mortgage, and insurance intermediaries. Client visits and support (Compliance Assistant role) and (undertaken Business Risk Compliance role).Undertaking deputy manager role of Helpdesk when required, supporting colleagues and directors.

Leeds, England, United Kingdom

Head of Operations of a Discretionary fund management firm with own OEIC investment. Organised and managed the operational and compliance functions of the business in such a way as to ensure that the firm's service propositions were delivered in an efficient and robust way, whilst maintaining high levels of risk management, profitability, and operational effectiveness. Completed Gabriel and ICAAP returns and dealt with compliance-related issues. Led Barmac’s Investment Management Committees (IMC) monthly and chaired the compliance committee meetings on a quarterly basis. Provided research and fund management support in relation to The Castleton Growth Fund (OEIC) and white label Discretionary Managed Model Portfolio Service to Professional Advisers. Producing high-quality research and analysing data relating to macroeconomic trends. Reviewing and assisting to create model portfolios. Ensured timely, efficient dealing and execution, produced marketing material for The Castleton Growth Fund, including charts and compliance-related documentation. Conducted necessary due diligence, ensuring satisfactory documentation review/credit risk of funds and their managers/companies and regulatory analysis.Experience of working within the financial services industry in wealth management, discretionary fund management, and within an independent IFA practice. Extensive experience carrying out wealth management functions, constructing financial models in order to facilitate the investment decision process, fund switching, product research, and IFA work such as completing suitability reports, obtaining quotations, valuations, processing business, and chasing commissions. Financial Consultant (Independent IFA) - Adviser providing services in general insurance, protection, mortgages, retirement planning, and savings and investments. Recommending appropriate products within industry guidelines. Was fully authorised.Reason for leaving: Closure of Barmac. Redundancy

Halifax, England, United Kingdom

Halifax Building Society and Halifax Plc (Head Office)Team leader in the Mortgage Customer Services Department.I began my career with the Halifax Building Society in 1991, after starting studying European Studies, Politics, and Law. I was based at Halifax’s head office (in Halifax). Gained a wide range of knowledge and experience, working in customer relations and mortgage lending.Team Leader in the mortgage customer services department. Involved in all head office aspects of mortgages from products, customer queries and complaints, branch support, intermediary management, processing applications and credit scoring, arrears and repossessions, completions, Transfers, and legal aspects.Prior to leaving, I was the person in charge of product transfers and had the sole role of Product Transfer Specialist. I was responsible for maintaining an impartial overview of transfers from a legislative and administrative perspective.Achievement – Selected twice to attend Halifax’s three-day management courses at Oulton Hall. A feat of being the first person ever to be selected two years in a row.Skills: Gained a solid communication background, and presentational and organisational skills. Gained a wide range of knowledge and experience working for the Halifax. This in turn gave me confidence, self-motivation, and enthusiasm whether working alone or in a group situation, with the ability to listen and learn from others.Reason for leaving. Left the banking/mortgage world to undertake a role in Financial Services.