Gary Allan is an Associate Director at Effecta Compliance. He brings to the role over 20 years experience having worked at the Financial Conduct Authority (FCA) and professional compliance consultancy firms. Gary’s work as a consultant has seen him work with small to mid-size financial services firms including Hedge Funds, Private Equity, Corporate Finance, Venture Capital, Real Estate and Advisor / Arrangers as well as some of the new technology firms including Payment Service Providers.
Gary’s main tenure at the FCA was in the Authorisations Department and has since used his experience to assist many start up managers and individuals to successfully achieve FCA authorisation and approval. His compliance consultancy roles have seen him involved with managing compliance departments and providing ongoing compliance support such as providing technical assistance and undertaking health check reviews and assessments of regulated firms, as well as building lasting relationships and understanding business lines in order to provide bespoke, pragmatic advice to clients.
Gary has extensive technical knowledge of the FCA Handbook, in particular SUP, COBS, BIPRU, SYSC and FUND as well as EU directives such as MiFID II, UCITS and AIFMD. Furthermore, he has experience of drafting and implementing compliance policies and procedures, anti-money laundering and GDPR to ensure clients adhere to the FCA’s principles and rules.