Theresa is the Compliance Director for Tom French & Associates and is responsible for the day to day running of the Compliance Department.
Liaising with other Directors and Senior Management, Theresa supervises all advisers within TFA ensuring compliance with the FCA’s Training & Competence Scheme. She conducts client file checks on all advisers as part of their KPI’s and creates Client File Action Plans for any remedial action that may be required.
She vet’s all new advisers’ business until such time as they are considered to have reached Tom French & Associates required competency levels.
Theresa ensure’s that all employees and advisers within Tom French & Associates are aware of the Complaints, Bribery Act and Whistleblowing procedures.
Should clients have reason to complain, Theresa is the first point of contact for this.
Theresa was nominated in 2011 as Education Officer for the PFS Exeter & North Devon Region and re-elected in 2012, 2013, 2014, 2015 & 2016.
Elected onto the Exeter CII Council September 2015. She has been on the Tom French & Associates Board of Directors since 2011.