Steven Thompson
Compliance Consultant
Qualifications
Chartered Financial Planner
Fellow of the Chartered Insurance Institute.
Steven’s role involves…
Steven has 25 years of experience as a compliance officer, working with a range of firms as a consultant.
In his role at MW-FS, he manages:
- Regulatory advice and interpretation
- Compliance monitoring and audits
- Policies and procedures
- Training and competence support
- Regulatory reporting and ongoing support.
When Steven’s relaxing
Steven values spending time with his family. He enjoys the outdoors, particularly adventuring in the mountains, whether that’s walking, cycling, or skiing.
Steven in numbers...
1
strong coffee each morning
12
books read each year
25
years in my current role
Marshall Wooldridge Financial Services Limited is authorised and regulated by the Financial Conduct Authority. View our authorisation under our reference number, FCA No. 729853 or by visiting their website. Registered office address: Unit 4b, Regency House, Kirk Lane, Yeadon, Leeds, West Yorkshire, LS19 7EP. Registered in England and Wales. Company no. 09887995.
Should you have cause to complain and you are not satisfied with our response to your complaint, you may be able to refer it to the Financial Ombudsman Service, which can be contacted as follows: The Financial Ombudsman Service, Exchange Tower, London, E14 9SR. www.financial-ombudsman.org.uk
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