Leadership

Gary Nicholls

Director & Consultant

Before establishing Danbury Compliance, Gary Nicholls was Head of Central Compliance at a national wealth manager, where he led a team of Compliance professionals supporting wealth management and financial planning operations.

His experience includes providing advice to senior management and governance committees, leading significant regulatory change programmes such as MIFID II and Consumer Duty, designing risk-based Compliance Monitoring frameworks and developing regulatory governance and oversight arrangements.

He has particular expertise in:

Consumer Duty and customer outcomes
Regulatory and conduct risk
Compliance Monitoring and Assurance
Acquisition and regulatory due diligence
SM&CR governance
Appointed Representative oversight
Managing regulatory change
Wealth management and financial planning
Governance and controls

Gary has considerable experience in interpreting regulatory requirements and translating them into solutions that meet regulatory expectations, mitigate risk and work effectively within the realities of a business.

This means clients benefit from the perspective of an experienced second-line Compliance leader, with the direct access and flexibility of an independent specialist consultancy.

Who We Are

Senior compliance experience, without the layers of a large consultancy

Danbury Compliance was created to bring senior-level compliance expertise to small and medium-sized wealth managers, providing the depth of experience and practical judgement that firms of this size may not always have access to in-house.

Compliance works best when it partners with a business early and consistently, helping firms understand and manage regulatory risk without creating unnecessary complexity or disruption.

By making experienced compliance expertise accessible to small and medium-sized wealth managers, Danbury Compliance helps firms strengthen their governance, meet their regulatory obligations and achieve better outcomes for both the business and its clients.

Let's Talk

If you'd like to discuss how Danbury Compliance can support your business, we'd be happy to have an initial conversation.