Mike Park

CEO

As CEO, Mike Park drives our vision, purpose and strategy. Mike is motivated by the firm belief that culture is the fulcrum of good conduct and a fairer financial services industry that serves all stakeholders. Joining TCC in 2018, Mike has continued to lead us along the path to commercial success by joining our compliance expertise with RegTech.

Mike 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.

As a keen sportsman, Mike has completed the Trailwalker 100km challenge across the South Downs organised by the Gurkha regiments of the British Army, no less than seven times, raising over £25k for Oxfam and The Gurkha Welfare Trust along the way.

Joanne Smith

Founder and Executive Chairman

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. She has personally won nine major awards and accolades for her trailblazing work in compliance and technology. (All awards here).

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.

Jason Wintie

Head of Advisory

Jason Wintie is a compliance professional with over 28 years of financial services experience. Working as a Regulatory Consultant for the past 22 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 and sponsoring successful large-scale regulated and non-regulated remediation, as well as rectification programmes.

Beverley brings to TCC proven skills in transformation and her role involves driving strategic service delivery and automation of major programmes and conduct risk services for clients. Beverley is a member of the Executive Committee.

Olivia Fahy

Head of Culture

Olivia joined TCC from the FCA’s Culture Team within Supervision, having spent over four successful years developing and leading its Transforming Culture initiative. Leveraging this unique insight into the regulator’s culture agenda, Olivia spearheads TCC’s culture division and our Hemisphere analytics solution.

During Olivia’s tenure at the FCA, she engaged directly with financial services firms, helping to embed healthy, sustainable cultures across the industry. This included leading CultureSprints, webinars and roundtables, and the publication of the FCA’s Transforming Culture Discussion Papers.

Prior to this, Olivia spent a number of years at the Financial Ombudsman Service, liaising with stakeholders to resolve high-profile policy issues. She holds an MSc in Financial Regulation from Henley Business School.

David Boyhan

Technical 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.

Jan Mosalski

Head of Tech Enabled Operations

Jan was introduced to the world of financial services as an IFA 20 years ago and moved into compliance five years later. He’s been overseeing TCC’s filer review teams for the nearly ten years, covering everything from ongoing engagements to large scale PBR’s.

As TCC continues to grow it’s tech-enabled offering, Jan is heavily involved in overseeing and developing manged services solutions. A notable achievement is the scoping, development and deployment of TCC’s own High Performance Assurance (HPA) offering.

Harry Eastwood

Actuarial & Redress Director

Harry Eastwood is an experienced consulting actuary and a fellow of the Institute and Faculty of Actuaries. He has over 25 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.

Judith Wright

Technical 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. A multiskilled compliance professional, Judith’s 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.

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.

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.

Neil Dethick

Associate Director

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.

Juana Diaz-Landinez

Associate Director

Having gained a degree in law from the University of Exeter, Juana moved into financial services consulting with Accenture, then spent five years with EY. Juana now focuses on Conduct & Culture, having previously worked in the regulatory advisory space, advising clients on conduct & controls across banking and capital markets.

Juana has supported clients following major misconduct failings such as the FX price fixing scandal, on a regulatory investigation following a major whistleblowing policy failure, and within retail banking supporting clients facing FCA action for treatment of customers in financial difficulty including vulnerable customers.

Juana also holds the CISI Level 3 Certificate in Global Financial Compliance.

When not at work, Juana enjoys spending time with family, cooking and travelling.

 

Rory Jackson

Associate Director

Upon graduating in History from Newcastle University, Rory joined the Royal Navy where he spent seven hugely rewarding years in the Submarine Service. After military service came four enjoyable years within financial services recruitment before joining TCC in 2018. Initially responsible for the day-to-day management of the Specialist Resourcing team, Rory then made the transition into business development where now focuses on building key client accounts.

Rory is a keen sportsman outside of work and particularly enjoys playing golf, cricket, tennis when the weather permits.

Robert Connor

Associate Director

Robert joined TCC having spent nearly five years at a leading brokerage working on an FX sales desk.  His role at TCC sees him assisting financial services organisations to align their compliance functions with the ever-evolving requirements of the regulator. With a specific focus on culture and its impact on both employees and customers,  he’s passionate about sustainability within the industry.

Robert holds a first class degree in Philosophy from the University of Kent and in his free time is an avid long distance runner and cyclist.

Olivia Brady

Associate Director

Olivia is a Regulatory Consultant experienced in building and maintaining compliance frameworks in various financial services institutions. Olivia has worked across a range of sectors including debt purchase and collections, pensions and conflicts management in retail and commercial banking.

Olivia’s roles in first, second and third line functions with both advisory and operational experience enable her to provide well-rounded remediation expertise combining delivery with regulatory expectations.

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.

 

Sam Majumdar

Senior Consultant

Sam has over 20 years industry experience, starting with delivering on Pensions Review and Endowment Review projects for part of Deloitte. From operational delivery, he moved to Resourcing these projects for both Huntswood and then Hazell Carr where he built a reputation for excellent technical and practical recruitment skills and an ability to consistently deliver high quality resource to the business and its clients. He has a far reaching network of trusted associates and has strong stakeholder and account management skills, and values relationship building.

Over the years he has delivered a wide range of projects for top tier organisations within financial services from section 166 reviews across the product range, large scale remediation projects, outcome testing to conduct risk and transformation pieces. He has also been involved in a large number of pensions projects: administration, switch/ transfer reviews, PPF levy work, annuities, ETV Transfer review and GMP work.

Outside of work he is heavily involved with a Charity school in India he and his friends built and is also passionate supporter of the Welsh Rugby team.

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.