ABOUT US
FLEXIBLE, BESPOKE COMPLIANCE SUPPORT
Rockstone Compliance and Risk Solutions offer a wide range of services and compliance solutions which are designed to assist those who are regulated by the Financial Conduct Authority (FCA).
Whether you are looking for someone to manage the compliance of your firm on your behalf or looking for occasional support – we can assist.
We offer a flexible approach, providing compliance guidance and support tailored to each specific firm we work with. Our solutions are designed to be appropriate and proportionate for each individual firm depending upon the nature, scale and complexity of the business.
We believe this is the most effective way to manage compliance.
Our Team
Elizabeth Harris
Regulatory Director
Elizabeth is the founding director of Rockstone Compliance, forming the company after seeing an opportunity in the market for firms requiring more formalised and personalised compliance support without the financial burden of appointing a compliance manager on payroll.
Elizabeth has over 20 years’ experience in the compliance sector working in both large corporate environments and boutique advisory firms and is a qualified Compliance and Financial Crime Risk Practitioner.
Rebecca Richards
Head of Sales Quality
Rebecca is one of Rockstone’s appointed compliance consultants; who has worked with Elizabeth for over a decade. After a successful career working in the retail lending network, Rebecca now heads up the Sales Quality Team specialising in mortgage and insurance advice oversight.
Julie Bryant
Quality Assurance Officer
Julie has joined Rockstone Compliance to specialise in the oversight of sales quality advice. Julie has over 30 years’ experience in the financial services sector and has undertaken various roles from mortgage adviser to administration support within large corporate companies as well as small independent firms. In particular, she has been involved in setting up three mortgage advisory practices and more recently, spent 13 years running her own IFA business.
