LIVES
Loughton, Essex
FAMILY
Married, with daughter aged 15 and son aged 12
STARTED AT JM FINN
July 2023
HOBBIES AND PASTIMES
Watching Leyton Orient
FAVOURITE HOLIDAY
Porto, Portugal
FAVOURITE FILM
Rocky 2
IF YOU WEREN’T AN INVESTMENT MANAGER
A radio sports commentator
FUN FACT ABOUT YOU
I was a regular in-studio guest on national radio (Talksport) every Saturday night back in the early 2000s
FAVOURITE SPORTING MOMENT
England’s 4-1 demolition of the Netherlands at Euro 96. An unexpectedly brilliant performance
PREFERRED MUSIC
Anything from the 90s
FAVOURITE BOOK
The Challenge Culture by Nigel Travis
Please could you explain what your role entails?
As Head of Compliance, my role is to ensure that JM Finn meets the regulatory standards expected of a discretionary investment manager and that our clients’ interests are protected at every stage of their relationship with us. This involves overseeing our policies, monitoring how the firm operates in practice, and supporting colleagues so they can meet their obligations with confidence.
A large part of my work is horizon scanning for regulatory change, interpreting what it means for the firm, and helping to embed those requirements in a way that is both practical and aligned with our culture. I also Chair the industry trade body’s regulatory committee, which gives a good insight into sector-wide issues.
Ultimately, my role is about enabling the business to operate responsibly while maintaining the high level of service and protection that our clients expect. I am lucky to be supported by a highly capable and experienced team of compliance professionals.
What areas does JM Finn’s compliance department cover and how does it protect clients and prospective clients?
The Compliance team’s remit covers every part of JM Finn and every service that we offer to our clients. This includes financial crime prevention, market conduct, data protection, suitability of advice, and ongoing monitoring of how portfolios are managed. We also review communications (including Prospects!), marketing materials and client documentation to ensure they are clear, fair and
not misleading.
By maintaining strong controls and providing guidance across the firm, we help ensure that clients are treated consistently and transparently. For prospective clients, our checks and processes ensure that we only take on individuals for whom our services are appropriate and that we understand their needs from the outset.
Consumer Duty became a requirement for financial services firms in 2023 – what does it mean for JM Finn and its clients?
Consumer Duty reinforces principles that have long been part of JM Finn’s approach: acting in clients’ best interests, providing clear information, and delivering high quality services that meet their needs. The Duty requires firms to demonstrate good outcomes across the entire client journey, from initial engagement to ongoing portfolio management.
For our clients, this means even greater focus on value, transparency and support. For us, it has meant reviewing our processes, communications and products to ensure they consistently deliver positive outcomes and reflect the needs of the clients we serve.
