About Haven Risk Management

David joined the financial service industry in 1984 and worked in direct sales and as an IFA for 12 years before moving into technical training and compliance consultancy in 1996. He is the author of several technical manuals and acts as an expert witness for a national firm of lawyers.

David is an Associate of the Personal Finance Society, a Fellow of the Compliance Institute and a Fellow of the Chartered Management Institute.

Diana worked for 22 years as a chief administrator in the private healthcare sector before taking a break in her career to have a family. She joined the Haven team in 2001.

Diana coordinates and manages the disparate range of talents within Haven Risk Management.

Vicki has worked in the financial services industry for 14 years with 8 years compliance and T&C experience. She has gained experience from working with product providers, friendly societies and IFA networks, and she produces skilled person reports for the FSA. Vicki is an Associate of the Personal Finance Society and holds the AFPC, CeMAP and CeRGI qualifications.

Susan runs New Caledonia Compliance Ltd which is in partnership with Haven Risk Management and provides compliance and training services to firms in central and northern Scotland.

Alison has experience working as a team leader for a national compliance consultancy and also for the FSA. She is a Chartered Financial Planner and an Associate of the Personal Finance Society.

Chris has held various senior compliance roles in regulated firms and also worked for a national compliance consultancy. He is a Chartered Financial Planner and a Fellow of the Personal Finance Society.

Catherine is a Director of Compos Mentis (Training) Limited and has a career spanning more than 20 years in the financial services industry. She is author of the Guide to Compliance and the Financial Services Compliance Toolkit.

Michael has spent over forty years in the financial services industry. He is a Chartered Member of the Chartered Institute of Personal Development.

Michael produces and maintains the Haven compliance manual and writes our monthly newsletter. He is also a key member of our helpline team.

Michelle set up Harvey Jones Consulting after many years as an HR generalist in both the private and public sector. She gained extensive experience in change management during her time in Senior Management and uses her own experiences to help organisations through the process of change.

Robert Wharton of Thring Townsend Lee & Pembertons has been in the world of financial services for over 20 years. He leads a team with specialist financial services regulation expertise including with regard to acquisitions and disposals.