Carl Thomas Fpfs Chartered Financial Planner
About Carl Thomas Fpfs Chartered Financial Planner
Carl Thomas is an Operations Manager at HSBC with over a decade of experience in financial planning and compliance. He holds the FPFS designation and is a Chartered Financial Planner, having previously held managerial roles at HSBC, NatWest, and Scottish Widows.
Work at HSBC
Carl Thomas has been employed at HSBC since 2014, currently serving as an Operations Manager in Bristol, United Kingdom. His role involves overseeing operational processes and ensuring compliance with regulatory standards. Prior to this position, he held various roles within HSBC, including Pension Transfer Review Team Manager and IFA Team Manager from 2011 to 2013, and Quality Assurance Team Manager from 2013 to 2014. In these roles, he managed teams focused on pension transfers and quality assurance, ensuring adherence to pension regulations and Treating Customers Fairly (TCF) principles.
Education and Expertise
Carl Thomas earned a Bachelor's degree in Biology from The University of Hull, where he studied from 1983 to 1986. He holds the FPFS designation and is recognized as a Chartered Financial Planner. His educational background, combined with his extensive experience in financial services, equips him with the knowledge and skills necessary for effective financial planning and compliance management.
Background
Before joining HSBC, Carl Thomas worked at NatWest as a Senior Business Financial Planning Manager from 2009 to 2011 and at Scottish Widows as a Broker Consultant from 1995 to 2001. His career in financial services spans several roles that have involved managing teams and ensuring compliance with regulatory standards. His experience includes leading teams of pension transfer specialists and IFA Sales Quality checkers.
Achievements
Throughout his career, Carl Thomas has managed teams focused on compliance and quality assurance within the financial services sector. At HSBC, he was responsible for overseeing high-risk regulatory reviews of sales and ensuring that the salesforce provided appropriate advice. His leadership in managing quality assurance functions has contributed to maintaining high standards within the organization.