Nick joined Perspective in January 2022 as our Regulatory Assistant. He previously worked within a compliance team for a multi-jurisdictional financial planning firm for 2 years before joining us.
Compliance is an area in which Nick happened to stumble upon when starting his professional career. However, since being in the financial services industry and seeing how important compliance is and how this has changed over the years has made it a very interesting area to be in.
Nick’s role is predominately supporting and coordinating compliance procedures and policy, but there are lots of additional parts involved with this, every day is quite different. He helps by ensuring our financial planners follow Perspective’s policy and procedures, which in turn results in our planners providing the best quality advice and great working practices for our clients.
Nick has now joined our Regulatory Due Diligence team and is looking forward to the new challenge that comes with that. His role will involve supporting & implementing the current due diligence workload to improve efficiency.
Nick enjoys keeping fit, he regularly plays football in his spare time and goes to the gym.
The information contained within the website is subject to the UK regulatory regime and is therefore primarily targeted at customers in the UK.
Should you have cause to complain, and you are not satisfied with our response to your complaint you may be able to refer it to the Financial Ombudsman Service, which can be contacted as follows:
The Financial Ombudsman Service, Exchange Tower, London, E14 9SR
Tel: 0800 023 4567 or 0300 123 9123