Nucleus Financial
Humphrey Willetts is a seasoned compliance professional with extensive experience in regulatory and compliance roles across various organizations. Currently serving as a Senior Compliance Manager at Nucleus Financial since February 2019, Humphrey oversees a team that provides expert guidance on pension and investment products, requiring a thorough understanding of the FCA Handbook. Previous positions include Financial Crime Compliance Manager at Aviva, where Humphrey led the implementation of risk-based controls, and several roles at Friends Provident International, overseeing compliance monitoring and technical management. Humphrey’s career also includes significant contributions at Friends Life UK, AXA, and the Financial Conduct Authority, focusing on regulatory supervision and risk management. Academic credentials include a Postgraduate Diploma in Governance, Risk and Compliance and a BSc in Statistics, Computing, Operational Research, and Economics from reputable institutions.
Nucleus Financial
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Nucleus Financial Group PLC, formerly Nucleus Financial Group Limited, is a United Kingdom-based company, which rovides independent wrap platform services to over 2, 200 adviser users across more than 800 financial adviser firms. The Company's wrap platform with access to a range of tax wrappers and an open architecture approach to investments. The Company's platform allows users to combine all of clients' assets into a single, manageable online account. The Platform offers a range of custody, trading, payment, reporting, fee-handling, research and integration services and a variety of tax wrappers. Asset choices including cash, OEICs, Unit Trusts, offshore funds, structured products and listed securities, including ETFs and investment trusts, are available through the Platform.