FCA’s Appointed Representative regime and the regulatory focus on Principal firms
Joanne Smith has worked in financial services for over 30 years. Her expertise is in compliance-related
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 have 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.