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Carl Wallis

Group Compliance Director

Carl Wallis

Group Compliance Director

Carl has twenty years’ experience working as a Compliance professional, specialising in FCA financial regulation as applied to intermediaries. Carl has a technical background in the provision of compliance guidance and support for financial advisers. Carl has extensive experience in working directly with the FCA and also implementing key regulatory initiatives within advice businesses. In addition to financial advice qualifications, Carl holds the Professional Postgraduate Diploma in Governance, Risk & Compliance, awarded by the International Compliance Association.

Previously Compliance & Risk Director at Sesame Bankhall Group, Carl joined Fairstone in January 2023 and is responsible for leading Fairstone’s compliance function.