Jodie Maurer

Head of TCC Australia

Jodie is a highly skilled regulatory lawyer with extensive knowledge of all areas of the regulatory lifecycle, gained from over 20 years of experience in leadership roles at financial regulators, in industry and private practice across multiple jurisdictions.

She was admitted as a solicitor and barrister of the High Court of Australia and Supreme Court of NSW in 1999. Since then, she’s led the litigation team at the Australian Stock Exchange and worked as a regulator at the UK’s Financial Conduct Authority, shaped future regulation and public policy on behalf of global banks and advised on regulatory strategy, implementation, litigation and supervisory issues. 

Jodie heads up our TCC Australia operations, helping Australian clients to navigate the increasingly complex and rapidly changing regulatory environment.  

Mike Park

CEO

Mike Park is a senior chartered accountant, with international main board experience in financial services and technology sectors from blue chips to SMEs/start-ups, across both the UK and the Asia Pacific region.

A former financial services consultant with PWC and KPMG, and a Group Compliance Officer and MLRO, he has broad experience of PE and VC backed businesses, debt and equity raising, M&A, SaaS and exits.

Warren Vickers

Commercial Director

Warren has over 12 years’ experience within financial services and regulation. He has developed a strong and wide international network in the compliance world having also spent two years working across the Asia Pacific region. With extensive client facing experience, Warren is responsible for understanding our clients’ needs and aligning them to the solutions, resource and technology at the heart of TCC’s sales and growth plan. He joined TCC from Danos Associates where he spent four years as an Associate Partner.

Joanne Smith

Founder and Executive Chairman

Joanne Smith has worked in financial services for over 30 years. In 2000 she founded TCC, and her drive and commitment has led us from an initially small outfit into the international, award winning company it is today.

Always an innovator with a passion for compliance, Joanne conceptualised a unique and powerful solution to regulatory requirements, called Recordsure. In 2019 she took Recordsure technology to Australia and has been partnering with Australian firms to improve customers trust, enhance transparency and ensure regulatory compliance ever since.

Her expertise is in compliance related matters, across all sectors of the industry. Prior to founding TCC, Joanne worked in a number of financial services companies including Royal Insurance, HBOS and KPMG, as well as the Financial Services Authority (FSA). She also has an MBA from Ecole Nationale des Ponts et Chaussees in Paris.

 

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.

She has a track record of leading successful large-scale regulated and non-regulated complaint handing programmes and past business reviews, constantly powering continuous improvement, efficiency and quality control. Beverley brings to TCC proven skills in productivity and efficiency and her role involves driving the operational performance of TCC and championing skills and capability development.

Beverley honed her skills in previous roles in customer and shareholder services, quality and publishing services at large industry institutions. She is a member of the UK’s Chartered Management Institute and the Institute of Consulting.

Harry Eastwood

Head of Actuarial & Redress

Harry Eastwood is an experienced consulting actuary and a fellow of the UK’s Institute and Faculty of Actuaries. He has over 20 years’ financial services experience including actuarial consultancy in both UK pensions and life insurance.  Formerly Harry held senior roles such as scheme actuary to 15 pension funds with combined assets over of £200m.

Jason Wintie

Technical Director

Jason Wintie is a compliance professional with over 15 years of financial services experience. Working as a Regulatory Consultant for the past 10 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 General Insurance Intermediaries.

As a consequence of his extensive experience, he has a detailed knowledge and understanding of regulatory 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.

Gurjit Purewal

Technical Director

Gurjit has more than 25 years experience in the financial services sector and holds both broad and deep expertise of the regulatory landscape.

His experience includes designing and executing compliance risk assessments and monitoring plans, implementing policies and procedures, establishing compliance manuals including all applicable policies and conflicts of interest.   

Gurjit’s held senior roles in capital markets firms and has built a solid reputation delivering pragmatic and highly effective solutions for clients. His experience includes two years providing regulatory change advice and advising firms on AML controls, policies and procedures.

 

David Boyhan

Associate 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 UK’s Financial Conduct Authority. His experience at the regulator included oversight of a wide range of firms, including financial advice firms, and leading supervision processes.

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.

James Marshall

Associate Director

James is a highly qualified Regulatory Consultant with over 20 years’ experience in Financial Services.

Having left the banking sector to join the UK financial services industry in 1991, James has held a wide range of roles in the regulated environment, most recently as Compliance Director of a large Independent Financial Advice practice. His areas of expertise include quality of advice and systems and controls.

Judith Wright

Associate 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. Her areas of expertise include Mortgages, UK Pensions and Investments including Monitoring and Supervision, Past Business Reviews and Remedial Action planning. She has extensive experience of working with Financial Advisers and Brokers.

Lorraine Mouat

Associate Director

Lorraine is a Senior Regulatory Consultant with 17 years’ experience in the financial services industry. She has worked across various sectors, including consumer finance, with international loan asset management experience in the Netherlands, Portugal and Spain, where she worked as Country Manager for a year.

Lorraine has carried out a number of roles within regulated environments, both in general compliance and conduct risk, focusing on governance and culture, risk management frameworks, systems and controls, and monitoring and oversight. Amongst her many qualifications, Lorraine holds the ICA Certificate in Financial Crime.

Lorraine has a High Distinction degree in Human Resource Management and is also proficient at speaking Spanish, which she continues to develop.

Neil Dethick

Senior Regulatory Consultant

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 a UK-based private bank and wealth manager, 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.

Olivia Brady

Senior Regulatory Consultant

Olivia is a Regulatory Consultant experienced in building and maintaining compliance frameworks and functions in various financial service institutions. Olivia joined TCC from a large UK retail bank, where she worked across a range of sectors including debt purchase, debt collection and conflicts management in retail and commercial banking.

Olivia’s roles in first, second and third line assurance functions with both advisory and audit experience gives her a well-rounded knowledge of business and regulatory expectations with regards to conduct risk.

Rob Taylor

Senior Regulatory Consultant

With previous experience in compliance and as a financial adviser, Rob has a significant amount of experience in the financial services sector and regulation.

Rob has over 18 years’ experience working in the retail advice and asset management sector and has provided consultancy services to a large variety of small to medium-sized firms. He’s also completed a number of professional exams .

Alejandra Gorría Zaldivar

Regulatory Consultant

Alejandra is a highly skilled Regulatory Consultant, having gained expertise from across the asset management, insurance and retail banking sectors. Her experience includes work in regulatory reporting for a large international asset management company.

 

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