Joseph Lazaris

Head of Compliance

Joseph, also known to most as Joe, has significant experience assisting small and medium sized enterprises across the full spectrum of financial services to meet their day-to-day compliance requirements.

Joe began his compliance career by conducting compliance monitoring of appointed representatives and helping them to achieve their own direct FCA authorisation. Joe assisted Enterprise Investment Partners with this process.

Joe then worked for another two regulatory consultancies, where he was responsible for assisting clients with a wide variety of regulatory issues, including:

  • Applications (including direct authorisations, variations of permission and changes in control)
  • Regulatory reporting via GABRIEL and Connect
  • External compliance healthchecks
  • Designing and issuing policies and procedures
  • Pre-transaction regulatory due diligence
  • Product design and structuring
  • Compliance training
  • Reviewing financial promotions

Joe Lazaris is one of the co-founders of our sister company, Enterprise Incubator & Consultancy.

Prior to moving into compliance, Joe spent several years in the British Army as a soldier in the Royal Military Police and as a complex case investigator in the public sector.