Ian Scaife
Wraxall,Bristol
Summary
Seasoned compliance professional with 26 years' experience specialising in regulatory adherence, customer outcomes and M&A. Proven track record of supporting growth by implementing effective methodologies for mergers and acquisitions, achieving multiple successful Change in Control applications. Expertise in navigating complex regulatory environments to ensure organisational compliance, conduct and culture.
Overview
39
39
years of professional experience
Work history
Head of Compliance
Clifton Asset Management Ltd
Ham Green, Bristol
05.1999 - Current
- Regulatory 'horizon scanning' (consultations, policies, speeches, FCA events, press, etc) and the cascade of information to relevant staff.
- Regulatory liaison, including FCA returns, information requests, permissions, authorisations, register maintenance.
- Key role within the mergers and acquisitions team, including regulatory due diligence (incl. governance structure, Consumer Duty, SM&CR, file reviews, policies and procedures, regulatory history, complaints, breaches, PII).
- Completion and submission of Change in Control applications, including controller forms, drafting business plans, liaison with relevant internal staff, liaison with FCA.
- Consumer Duty oversight, including the drafting of Fair Value Assessments and Annual Reports to the Board, with supporting Management Information / evidence.
- Developed risk management strategies to safeguard against potential threats.
- Training design and delivery.
- Policy development, including vulnerable customers.
- SM&CR implementation and maintenance.
- SMF16/17 holder across the Clifton Group, including advice, DFM and SIPP provider.
- Drafted reports on compliance review findings for senior management review.
Financial Adviser
Grosvenor Consultancy Ltd
Bristol
08.1996 - 05.1999
- Providing financial advice to clients.
Project Manager in construction
Stansell Builders
Taunton
09.1986 - 08.1996
- Carpenter and Joiner initially, progressing to Project Manager.
Education
Level 4 Diploma - Incl. Supervision in a Regulated Environment
Chartered Insurance Institute
Diploma in Compliance -
International Compliance Association (ICA)
Skills
- Regulatory compliance expertise
- FCA rules knowledge
- FCA reporting and liaison
- Compliance analysis and adaptability
- FCA systems proficiency - RegData and Connects (principal user)
- Consumer duty advocacy
- Project and initiative management
- M&A due diligence
- Policy development and implementation
- Compliance leadership
- Effective communication skills
Affiliations
- Tennis, Football, Fitness, Music, Cinema, Travel, Cooking, BBQ
Timeline
Head of Compliance
Clifton Asset Management Ltd
05.1999 - Current
Financial Adviser
Grosvenor Consultancy Ltd
08.1996 - 05.1999
Project Manager in construction
Stansell Builders
09.1986 - 08.1996
Level 4 Diploma - Incl. Supervision in a Regulated Environment
Chartered Insurance Institute
Diploma in Compliance -
International Compliance Association (ICA)
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