Anthony Brown

Head of Compliance Financial Planning @Evelyn Partners

Bracknell, GB

Responsible for ensuring the advice given to EPs clients is in line with FCA COBS rules and suitable based on their needs and objectives. • Prepares reports for Senior Leaders on significant issues affecting the Financial Planning business.• Leads thematic reviews and remediation projects when issues or areas on concern are identified.• Represents Risk and Compliance on projects and change programmes.• Assists and advises the business in development of new advice areas, proposition changes and process improvements.• Designs and implements systems and controls to provide a robust review process to lessen risk of unsuitable advice being given.• Designs and delivers training for Financial Planners providing Compliance updates and Regulatory issues.• Works with EPs online investment to provider to ensure this area of the business is complaint with the relevant rules.