Unique Financial Planning has appointed Sue Laver as Practice Supervisor and Risk Manager as part of its ongoing investment into adviser supervision and risk management.
Laver, who has more than 15 years’ compliance experience in financial services, previously supported appointed representatives and registered individuals on all compliance aspects of their businesses at adviser network, Personal Touch Financial Services. Prior to this she spent six years working for Hargreaves Lansdown as a compliance manager.
The appointment follows that of Mike Gummerson, who joined as Development Director at the end of last year.
In March 2021, Unique Financial launched a wealth management division as part of plans attract more high-net worth clients and widen the scope of its offering.
Stewart Williams, CEO of Unique Financial, commented: “Robust risk control is the maker of any successful adviser business and, as we look to expand our proposition, strengthening our inhouse resource will help ensure all our processes continue to be of the highest standard. In addition, it gives our clients added reassurance that they are always being treated fairly and in line with regulatory expectations.
“Having spent a number of years working with financial advisers, Sue has a deep understanding of the challenges they face and her experience will be invaluable as we look to further grow our range of services and make sure we are well-equipped to service those with the most complex of needs. We are very pleased to have her on board.”
Laver commented: “Good risk management is about so much more than simply adhering to rules and regulation, it’s about caring enough to prioritise peoples’ best interests and take every step to ensure you are putting them on the path to achieving a good financial outcome. I am so excited to be joining Unique Financial’s growing team and look forward to playing my part in its continued development.”