Model Office and The Science of Compliance: Recent Episodes
Chris Davies
Insights into building a culture and climate for resilience, risk management, governance and creativity in your business
We were delighted to host Adam and gain insight into his journey within the financial planning profession and learn about the great work NextGen planners are up to in supporting professional growth and development for planner firms. Plus we get to learn Adam's entrepreneurial passion for vegan sweets 🍬 🍭 😃
Fantastic to host Tess, who provides an episode packed full of Fintech strategy for any financial service firm looking to employ high quality client portal within their tech stack to empower client engagement business growth and compliance. Plus a mystery guest and saving Tele-Tubbies, what more could you want!
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In this episode we welcome Professor Andy Pardoe CEO of AI software development business Wisdom Works. We discuss all things AI and the effect this fourth Industrial Revolution will have across industry and financial services in particular
Listen into Neil's amazing career journey, from PE teacher to the world of finances Chief Behavioural Officer and all the great work Shaping Wealth do for its profession.
Listen into to Helen's amazing career hourly in retail financial services and the challenges, resilience and creativity he brings and the innovative work Mint Blue Consultancy offers
Listen into to Phil's amazing career hourly in retail financial services and the challenges, resilience and creativity he brings and the innovative work The Yardstick Agency offer
We welcome Financial Adviser firm review platform Managing Director Alex Whitson to discuss his career journey and Vouched for's services and technology in supporting adviser firms and their clients on the current regulation challenges and opportunities they face
Mike brings his intelligence and wit to all key issues surrounding the FCA's Consumer Duty plus other key issues and talks us through his career journey and where he sees the industry direction of travel.
Listen into industry stalwart Roderic Rennison on his career journey and views on industry regulatory challenges and opportunities particularly in the M&A arena.
Paul discusses his own and Fidelity's journey in supporting adviser, planner and wealth manager firms in the market place and how Fidelity Advice Solutions are supporting firms meet their on-going challenges and opportunities
Listen to Greg's forensic knowledge on the importance of behavioural finance, data analytics and technology in ensuring human's stand the best possible opportunity to make the right decisions and manage risks. You can download the details on Greg's audit work on 'noise' and inconsistencies in the advice process here https://www.linkedin.com/feed/update/urn:li:activity:6790608211285168128/
Learn all about the RegTech industry and how it is helping firms meet ongoing governance, risk and compliance challenges from The RegTech Doctor herself, Dr Sian Lewin Co-Founder and Head of Client Delivery RegTech Associates
A very insightful podcast into the RegTech industry from a leader in the field Dr Sian Lewin of RegTech Associates, covering women in RegTech, RegTech Associates research and the direction of travel for RegTech both in UK and Internationally.
Aviva's Director of Platform propositions Mike Hogg and Platform and FinTech integration manager Tim Walton discuss how an industry leading platform provider can aid firm's compliance challenges and enable firm professional practice.
Gill discusses her career journey and the importance of persistence, determination and working with an employer that walks it's talk on diversity and how tech can enable firm's client, business and compliance management success
We continue our women in financial services series this time with host Liz Field CE of The Personal Investment Management and Financial Advice Association (PIMFA) the UK’s leading financial investment and advice trade association where Liz discusses her journey, challenges and opportunities..
Continuing our focus on women in financial services, we welcome Uinsure's Chief Partnership and Marketing Officer Lauren Bagley to discuss her journey and key industry challenges and opportunities
With International women's day we kick of this series by focusing on women within financial services, how they have met challenges and taken opportunities to grow influential careers and used key strategies such as client focus, business development and compliance to forge success in their professional lives
This episode focuses on Roland's intrepid journey as a pioneer in practice management technology and how back office tech can help adviser firms overcome challenges and encourage healthy and high quality data to be used to ensure compliance, client-centricity and sustainability
Listen in to more on our series with award winning financial planning CE Andrew Elson on his journey, how Berry and Oak are thriving through these uncertain times and what makes compliant and client centred professional practice
Listen into the how the power of digital networking can help your business and compliance challenges by bringing a meeting of minds across the industry and supporting firms on-going compliance, client and business professional development needs.
We investigate the trouble with PII and are delighted to have Steve Ray to discuss his deep expertise in the insurance sector, key challenges retail investment advice firms face, but most importantly what can be done to aid and support the industry to develop solutions to deep challenges such as the DB pension transfer saga, a pandemic and Brexit.
We welcome Nick Eatock CE Intellifo, to discuss how his technology can enable governance, risk and compliance practice within retail investment advice firms. Focusing on his journey to build Intelligent Office (iO) and how practice management technology acts as an enabler to professional practice.
We discuss with Nick his journey to become a leading voice and advocate for financial planning, challenges faced across compliance and covid19 pandemic, his gamy leg and how he views the future of the industry
We begin our financial planning and wealth management industry practitioners episodes with Capital Asset Management's CE Alan Smith and Compliance Officer Charles Riches talking all things business strategy, collaboration, compliance practice and technology as an enabler for the missing middle office...
Listen in for top tips on research and due diligence, evidence based practice, embedding suitability and client segmentation strategies plus how to take care of yourself and your business through challenging times...
In this inaugural episode we aim to debunk compliance myths around it being a business inhibiter and look at tools and techniques through Rory Percival's experience and expertise that can help support your business and your clients ongoing needs and ensure professional practice
If you are curious about how compliance can act as a business enabler to sustainable, professional practice and business growth then listen to our trailer and sign up for the science of compliance podcast fun ahead.
In each podcast we will investigate through expert guest opinion, can studies, tools, techniques, behavioural science and much more how constructive compliance, risk and governance management is at the heartbeat of business success.