James Marshall

Principal Consultant

With over 30 years’ financial services experience, James is a Principal Consultant, advising clients across wealth, financial advice, mortgages, consumer credit and insurance.

His knowledge encompasses the complete regulatory lifecycle, the design and implementation of conduct risk and compliance frameworks and the performance of risk assessments. He also has extensive experience in many aspects of FCA regulations, including: SMCR, risk management frameworks, remediation programmes, suitability of advice and sales process design and complaints management.

He has previously advised on projects including guiding an international private bank on the development and implementation of a new mortgage lending proposition. James also has a deep understanding of regulatory due diligence processes for the purchase and sale of regulated businesses.

James holds the CII Diploma in Regulated Financial Planning, including Mortgages and Lifetime Mortgages, and the ICA Certificate in Compliance.


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