Bespoke compliance support

Elizabeth is the founding director of Rockstone Compliance, a company she established after identifying a gap in the market for firms seeking structured, tailored compliance support without the financial strain of hiring an in-house compliance manager. Recognising the increasing regulatory complexities businesses face, she saw the need for a solution that balances expert guidance with cost efficiency, allowing firms to meet their compliance obligations seamlessly.

With over 20 years of experience in the compliance sector, Elizabeth has worked across both large corporate environments and boutique advisory firms, gaining deep industry insights and a well-rounded perspective on regulatory challenges. She is a qualified Financial Crime Risk Practitioner and has extensive expertise in compliance, financial regulations, risk management, and governance frameworks. Her hands-on approach and strategic mindset have made Rockstone Compliance a trusted partner for businesses looking to enhance their compliance capabilities while maintaining operational flexibility.

Rebecca has worked in the financial industry since 2005. She began her career at Santander, where she quickly advanced through the ranks, discovering her passion for process improvement, quality assurance, and coaching. Rebecca’s specialty was auditing high-risk regions, upskilling teams and ensuring they met the bank's standards. Her drive for efficiency made her a strong advocate for challenging existing policies and procedures, leading to streamlined controls across the bank, something which she is still passionate about. Throughout her career, Rebecca has remained focused on helping stakeholders reach their full potential, removing unnecessary barriers along the way. 

Rebecca has been with Rockstone from the beginning, and perhaps as a natural critic, now leads our Quality Assurance Team. She plays a key role in collaboratively training and supporting brokers and supervisors on an ongoing basis. Rebecca ensures our oversight aligns with emerging risks and FCA priorities, contributing significantly to our continuous oversight. She thrives on supporting new brokers in achieving CAS and works closely with Elizabeth to help develop the business.

With nearly two decades of experience in the mortgage industry, Ian has developed a wealth of expertise across a variety of roles, from advising clients to leading quality assurance initiatives. His career has been driven by a dedication to improving internal processes and delivering enhanced customer outcomes. Before joining Rockstone, Ian spent six years as Head of Quality and Processing at a specialist Buy to Let mortgage broker, where he played a key role in refining operational procedures and ensuring consistently high-quality standards. 

Ian holds several professional qualifications, including CeMAP, CeRER, and an ICA Certificate in Anti-Money Laundering (AML), reflecting his commitment to maintaining the highest standards of professionalism and expertise. At Rockstone, Ian conducts comprehensive quality assurance reviews and facilitates compliance onboarding sessions.

With over three decades of experience in the financial services industry, Julie has developed a wealth of knowledge across multiple roles, ranging from mortgage adviser to administrative support. Her career has spanned both large corporate organisations and smaller, independent firms, giving her a broad and adaptable skill set. Notably, Julie has played a pivotal role in the establishment of three successful mortgage advisory practices, demonstrating her expertise in business development, regulatory compliance, and client service excellence. 

Julie focuses her expertise on overseeing the training and competence programme, ensuring that mortgage advisers meet the highest industry standards. Her commitment to fostering professional development and maintaining regulatory excellence reflects her dedication to the integrity and growth of the financial services sector.