About Us

Director: David Tonkes has over 30 years experience in the financial services industry and has worked in Compliance since 1999. David has vast experience and knowledge in Senior Management Systems & Controls, Monitoring, Anti-Money Laundering, Training & Competence, Sales and Advice, FSA reporting, complaint handling and Financial Promotions.

David spent 4 years as the Compliance Officer and MLRO in a very successful IFA firm where he developed appropriate systems and controls to enhance the business and enable it to grow compliantly. He also spent time advising clients in order to understand the pressures and restrictions that compliance can sometimes bring to the sales process.

David has a pragmatic approach to the compliance requirements of small to medium size firms and is passionate about not overburdening the sales process with unnecessary compliance requirements. He has been independently advising clients on their compliance needs since 2010.

Professional qualifications include FPC 1,2 & 3, AFPC G60 Pension Transfer specialist, H15 Sales Management & Supervision, and Certificate in Mortgage Advice and Equity Release (CF6 & ER1).