Tom Roberts DipPFS Cert CII (MP)

Compliance & HR Director

Tom is one of the longest serving members of the Niche team, having joined as a paraplanner to Chairman Ray Adams in 2007. Today, he is the company's Compliance Director, ensuring the company remains fully in-tune compliant with the ever changing demands of the financial services sector.

With a longstanding history in financial administration, Tom is perfectly placed to lead the Niche office on a day-to-day basis in providing clients with the very best service. His attention to detail and drive to continuously improve on processes means that he has played a pivotal role in the company's growth.

Tom is involved with the Chartered Insurance Institute and sits on the judging panel for the Cardiff CII Young Achiever of the Year Award and is a big believer in supporting and developing young entrants to the financial advice profession.

Aside from taking responsibility for compliance, Tom also has a responsibility for People at Niche, heading up recruitment and staff engagement initiatives.

When Tom isn't working, he enjoys family time with his wife, Sarah, and their twin daughters.


Diploma in Financial Planning

Certificate in Financial Planning

Certificate in Mortgage Advice

CF1 - UK Financial Services, Regulation and Ethics

CF2 - Investment and Risk

CF3 - Financial Protection

CF4 - Retirement Planning

CF5 - Integrated Financial Planning

CF6 - Mortgage Advice

J05 - Pension Income Options

R01 - Financial Services, Regulations and Ethics

R02 - Investment Principles and Risk

R03 - Personal Taxation

R04 - Pensions and Retirement Planning

Chartered Financial Planners
Back to top