We started The Compliance Platform with the mission to prove how quality compliance resource can deliver both good customer outcomes and good commercial opportunities.
We strongly believe that a pro-active and pragmatic compliance function should be at the heart of a regulated business and is core to a firm’s culture, values and decision making. We know, we've built and operated regulated FinTech companies in the Wealth sector.
We're aware of the frustration of seeking compliance at the end of a change or just before launch, only to face a barrier to delivery. This is why with our unique client-side experience and perspective, we look to do things differently.
We want to enable not prevent.
Founded by two former CRO’s and COO’s who have led platform and advice businesses. Backed by a team of seasoned professionals with unparalleled experience.
Founder and Principal Consultant, Tom has led regulated businesses as Chief Risk Officer, Chief Operating Officer and Board Director (Executive & Non-Executive). Tom has a track record of driving regulatory change, product launches and migrations, and embedding business frameworks.
A specialist in commercial compliance for all types of corporate activity with specific expertise in acquisition, incorporation, authorisation, joint ventures, sale and wind-down. Tom has a proven expertise in prudential capital management, information security and operational resilience, and a strong focus on legal, regulatory, and professional conduct standards.
Founder and Principal Consultant from 7th April 2024, Jeanette is the backbone of our leadership, championing client engagement and industry innovation with a passion for tech-driven regulatory progress, having run firms as Chief Risk Officer, Chief Operating Officer and Board Director (Executive).
Starting her career in the wake of significant regulatory enactments, she has since accumulated vast experience in guiding firms through regulatory landscapes, specialising in compliance for platforms and advisory services. Her strategic involvement spans a range of specialised projects, solidifying her as an impressive force in risk and regulatory practice.
The current regulatory and technological landscape offers an unprecedented opportunity to introduce state-of-the-art services to retail clients. Success depends on being able to adeptly navigate through complex regulation.
Launching products into the market or vertically integrating requires a keen understanding of regulations, strategic planning, and technological proficiency, which having run FinTech businesses is what we do best.
This is why The Compliance Platform is uniquely placed to deal with these challenges. As a modern forward-thinking consultancy we specialise in providing expert advice, capabilities, and solutions tailored to FinTech companies and new entrants in the wealth sector.
"The Compliance Platform team has been and continues to be great to work with. Clearly experts in their field, plus responsive and fast with delivery which is key as a fast growing start-up."
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Mark Whitcroft
CEO & Co-Founder, PlannerPal
"Connecting with The Compliance Platform has significantly helped us streamline our approach to compliance, allowing us to focus on growth while staying within all regulatory requirements."
Simon Snook
Director & Financial Planner, Severnside
"Our experience using The Compliance Platform has been fantastic for our business, ensuring we meet industry standards effortlessly. The team's expertise and support have been invaluable in navigating the complex regulatory landscape."
Mike Smith
Chartered Financial Planner, Mike Smith IFA Ltd
“Having previously worked together and knowing your dedication and expertise, we're enthusiastic about being a partner with The Compliance Platform. We're confident that you’ll deliver substantial value to those in need of regulatory guidance and advice.”
Gavin Haynes
Investment Consultant, Fairview Investing Ltd
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