Joanne Smith

Group Chief Executive Officer

Joanne Smith has worked in financial services for over 30 years. Her expertise is in compliance related matters, across all sectors of the industry. Since 1990 she has worked in a number of financial services companies including Royal Insurance, HBOS and KPMG, as well as the Financial Services Authority (FSA).

She has an MBA from Ecole Nationale des Ponts et Chaussees in Paris. In 2000 she founded TCC, which specialises in providing compliance services and resources. Joanne’s drive and passion has turned TCC from an initially small outfit to the award winning company it is today.

Always an innovator with a passion for compliance, Joanne conceptualised a unique and powerful solution to regulatory requirements, called RecordSure.

When she’s not busy running an extremely successful compliance services company, Joanne likes to travel.

Mike Park

CEO and Group CFO

Mike Park is a senior chartered accountant, with international main board experience in financial services and technology sectors from blue chips to SMEs/start-ups.

A former financial services consultant with PWC and KPMG, and a Group Compliance Officer and MLRO he also has broad experience of PE and VC backed businesses, debt and equity raising, M&A, SaaS and exits.

Jason Wintie

Technical Director

Jason Wintie is a compliance professional with over 15 years of financial services experience. Working as a Regulatory Consultant for the past 10 years, he has undertaken and managed a wide range of regulatory engagements for numerous regulated firms across all industry sectors, including: Insurers (Life and General), Reinsurers, Banks, Building Societies, Friendly Societies, Independent Financial Advisers, Investment firms, Mortgage and Insurance Intermediaries.

As a consequence of his extensive experience, he has a detailed knowledge and understanding of FCA requirements along with the ability to apply this knowledge pragmatically to a wide range of different firms. Jason has a very practical and “hands on” approach to his work and has personally assisted many Compliance Directors/Officers to deal with regulatory matters.

When not assisting firms with his compliance expertise, Jason enjoys staying active and spending time in the great outdoors.

Beverley Metcalfe

Client Delivery Director

Beverley joined TCC in 2014 and brings with her 20 years’ experience leading various business functions in the financial services industry, including as an FCA/PRA approved person with control of a significant influence function (CF29).

She has a track record of leading successful large-scale regulated and non-regulated complaint handing programmes and past business reviews, constantly powering continuous improvement, efficiency and quality control. Beverley brings to TCC proven skills in productivity and efficiency and her role involves driving the operational performance of TCC’s Leeds Conduct Risk Centre and championing skills and capability development.

Beverley honed her skills in previous roles in customer and shareholder services, quality and publishing services at large industry institutions such as Capita, HBOS and Halifax. She is a member of the Chartered Management Institute and the Institute of Consulting.

When she is not hard at work in our Leeds Conduct Risk Centre, Beverley likes spending time with her partner relaxing, eating out and socialising with friends.

Warren Vickers

Head of Sales & Business Development

Warren has over 12 years’ experience within financial services and regulation. He has developed a strong and wide international network in the compliance world having also spent two years in Singapore. With extensive client facing experience, Warren is responsible for understanding our clients’ needs and aligning them to the solutions, resource and technology at the heart of TCC’s sales and growth plan. He joined TCC from Danos Associates where he spent four years as an Associate Partner.

Don Scott

Technical Director

With 10 years consulting experience at the Big-4, Don brings a breadth of expertise to TCC, including experience in investment management, wealth management and the capital market’s sectors. His focus on asset management as part of TCC’s Advisory team is backed up by a deep knowledge of different asset management value chains and operating models, gained from work across the globe.

Don brings pragmatic, but deep technical understanding of compliance and conduct matters and has a passion for implementing technology to reduce client cost and drive efficiencies.

In his spare time Don likes to stay active and travel.

Gurjit Purewal

Technical Director

Gurjit has more than 25 years experience in the financial services sector and holds both broad and deep expertise of the regulatory landscape.

Formerly a registered Compliance Officer (SMF16, CF10), he has designed and executed compliance risk assessments and monitoring plans, implemented policies and procedures, established compliance manuals including all applicable policies and conflicts of interest.   

Gurjit’s held senior roles in capital markets firms and has built a solid reputation delivering pragmatic and highly effective solutions for clients. His experience includes two years providing MiFID II and MAR advice and advising firms on AML controls, policies and procedures.

 

James Marshall

Associate Director

James is a Regulatory Consultant with over 20 years’ experience in Financial Services. He holds many qualifications with the CII and CISI.

Having left the banking sector to join the financial services industry in 1991 James has held a wide range of roles in the FSA/FCA regulated environment, most recently as Compliance Director of a large IFA practice. His areas of expertise include quality of advice and systems and controls.

When not assisting TCC’s clients James enjoys spending time with the family and riding his Triumph motorbike.

David Boyhan

Associate Director

David Boyhan has over 15 years’ experience across the financial advice, retail banking and mortgage sectors as both a regulatory consultant and from his years at the regulator. David’s responsibilities at the FSA and FCA were focused on oversight of Fixed and Flexible portfolio firms, including financial advice firms. He also led supervision processes including Skilled Persons Reviews, Attestations and Deep Dives.

David brings to TCC deep and broad first hand regulatory experience and has in-depth knowledge of financial advice processes, control environment reviews and regulatory due diligence reviews. He also has extensive experience of writing and delivering training on file reviews including Defined Benefit transfers.

When not assisting firms with his regulatory expertise, David turns his competitive nature to the sporting arena where he enjoys watching and playing a wide range of sports including football, cricket, golf and tennis.

Judith Wright

Associate Director

Having gained a degree in Law, Judith moved to financial services over 20 years ago. She worked first as a Financial Adviser, moving into Complaints and Compliance in 1995. Judith is a CII Chartered Financial Planner and her areas of expertise include Mortgages, Pensions and Investments including Monitoring and Supervision, Past Business Reviews and Remedial Action planning. She has extensive experience of working with IFAs and Brokers.

When she is not working hard at TCC, Judith enjoys family days out walking and cycling.

Lorraine Mouat

Associate Director

Lorraine is a Senior Regulatory Consultant with 15 years’ experience in the financial services industry. Lorraine has worked across various sectors, including secured and unsecured consumer finance, with international loan asset management experience in the Netherlands, Portugal and Spain, where she worked as Country Manager for a year. Lorraine has carried out a number of roles within FSA/FCA regulated environments, both in general compliance and conduct risk, focusing on governance and culture, risk management frameworks, systems and controls, and monitoring and oversight. Lorraine is also TCC’s resident GDPR specialist and is a certified GDPR practitioner.

Lorraine has a 1st Class degree in Human Resource Management and is also proficient at speaking Spanish, which she continues to develop.

When not at work, Lorraine enjoys cooking for her family, home décor and walking her two dogs.

Neil Dethick

Senior Regulatory Consultant

With a Financial Services background spanning more than 25 years, Neil holds a deep and wide-ranging breadth of industry experience. Formerly a Director at Coutts & Co, his specialisations include past business reviews, leading remediation and redress programmes and the design and implementation of regulatory compliance policy and process.

Having held supervisory and COO roles in private banking, wealth management and retail banking, he has an outstanding track record of delivering pragmatic and highly effective solutions to all client requirements.

Outside of work, Neil enjoys indulging in his passions of cars, travel and rugby.

Olivia Brady

Senior Regulatory Consultant

Olivia is a Regulatory Consultant experienced in building and maintaining compliance frameworks and functions in various financial service institutions. Olivia joined TCC from RBS where she worked across a range of sectors including debt purchase, debt collection and conflicts management in retail and commercial banking.

Olivia’s roles in first, second and third line functions with both advisory and audit experience gives her a well-rounded knowledge of business and regulatory expectations with regards to conduct risk.

Rob Taylor

Senior Regulatory Consultant

Having been with TCC Intermediary and with previous roles in compliance and as a financial adviser, Rob has a significant amount of experience in the financial services sector and regulation.

Rob has over 18 years’ experience working in the retail advice and asset management sector and has provided consultancy services to a large variety of small to medium-sized firms. A number of professional exams for IMC and FPC.

Alejandra Gorría Zaldivar

Regulatory Consultant

Alejandra has gained expertise from across the asset management and insurance and retail banking sectors. Her experience includes work in regulatory reporting for a large international asset management company, focussing on MiFID (trade and transaction reporting) and EMIR – including Swiss reporting.

In her spare time, Alejandra enjoys testing new recipes to feed to her friends, cycling around, reading and attending musical events.

 

Anthony Harkess

Client Account Director

After graduating in Economics, Anthony commenced his career within the management consultancy practice of PwC before joining a fledgling Huntswood Outsourcing in 2002. After leading the resourcing team for a number of years, Anthony joined Hazell Carr in 2005 to establish a financial services contractor resource function, which he successfully led and developed during  a period of significant business growth over a 12 year period.

A short stint at RFS as Head of Resourcing followed, before arriving at TCC in 2018 in both a business development and specialist resource advisory capacity. During his 17 years in the industry Anthony has developed a unique and extensive network of skilled contract associates and clients at all levels. Building relationships and managing the delivery of complex interim resource solutions across multiple sectors is Anthony’s particular strength.

Jana Robinson

Specialist Resourcing

For over 15 years Jana has supported associate workers. She has a finely tuned ability to match skills to requirements, meaning the best for both clients and the associates. Since 2006 Jana’s experience has covered all financial services sectors, with emphasis on major global asset management houses as well as boutique fund managers and hedge funds. Jana is excellent at developing relationships with both clients and associates, which she does by taking the supportive element of her role very seriously.

When she is not busy helping TCC’s associates and clients, Jana likes to explore the countryside both here and abroad, taking the most wonderful, breathtaking photographs.

Rory Jackson

Manager - Specialist Resourcing

Rory Jackson joined TCC in 2018 having spent the previous four years working in financial services recruitment, and before that in Royal Navy Submarines. He is responsible for the day-to-day management of the Specialist Resourcing Team, working closely with the Advisory and Managed Services Practices to deliver projects for TCC’s clients. Rory utilises his extensive knowledge of the Associate Pool to ensure that these projects are delivered on time and, most importantly, in accordance with client expectations.

Rory is a keen sportsman outside of work, although these days he devotes his time to playing non-contact varieties such as golf, cricket, skiing and squash.

Harry Eastwood

Head of Actuarial & Redress

Harry Eastwood is an experienced consulting actuary and a fellow of the Institute and Faculty of Actuaries. He has over 20 years’ financial services experience including actuarial consultancy in both pensions and life insurance.  Formerly Harry held senior roles such as scheme actuary to 15 pension funds with combined assets over of £200m and as a consulting specialist on pension schemes entering FAS and PPF.

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