Carolyn Talkes-Nicholls

My role

As Compliance Director, I look after the regulatory side of the business. I’m all about peace of mind. Regulations are there to keep our clients safe, and I make sure that happens. Compliance has a bit of a reputation for being stuffy and rigid – I like to show that we can be innovative and find better ways of working and still do the absolute best job for our clients.

In an average week, I can be found translating legislation and formulating action plans, reviewing advice files, and monitoring the training of our Financial Planners.

Background

I’ve spent over 25 years in the Financial Services world in administrative, operations and compliance roles, including small and large Financial Planning firms, as well as a large pensions administrator.

I’m a self-proclaimed compliance geek and love to help clients and businesses alike with ensuring we’re all working above (and sometimes beyond) the required standards. I get very excited about creating processes that make things happen with minimum fuss.

What’s important to me

Outside of my work for Balance, my life is mostly about music and how beneficial it is for our wellbeing. I teach singing and woodwind instruments both privately and in schools, and I help to lead a choir and orchestral organisation in my hometown.

If I’m not making music, I can usually be found baking, journaling or spending time with my rescued lurcher Derek.

Qualifications

I hold the Diploma in Financial Planning.