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Niall Humphreys

Head of Advice

Previous Experience

Niall began his career in the Financial services industry as an independent financial adviser for 14 years, before moving into a senior management role for a major UK Banking Group. His responsibilities included leadership of the Training and Competence function within the Private Banking and Wealth Management functions both in the UK and for the International Private Bank. As part of the compliance function he and the team he led were responsible for setting the standards for adviser training / supervision as well as the application of professional standards and advice quality.

After over 20 years with the bank Niall returned to the Independent Financial Adviser sector as Head of Advice for an expanding Financial Advice Network, where he was also responsible for the standards of advice, implementation of professional standards and the oversight of complex and non-mainstream advice, including defined benefit pension transfer advice.  

Areas of Expertise

  • UK Financial Services Regulatory framework
  • Financial Advice process design and delivery
  • Application of Professional Standards and fair treatment of customers 

Qualifications/Accreditations

  • Diploma in Financial Planning
  • Chartered Financial Planner
  • Fellow of the Personal Finance Society (FPFS)
  • Chartered Associate of the London Institute of Banking & Finance (ALIBF)
  • Certificate of Mortgage Advice
  • Certificate in Equity Release
  • Certificate in Financial Planning & Lifetime Mortgage Activities
  • Certificate in Financial Planning & Long-Term Care Insurance
  • Defined Benefit Pension Transfer Qualification

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