Kate Harris

Head of Compliance and Risk

Qualifications

Qualifications

  • DipPFS (Diploma in Financial Planning)

    This level 4 diploma meets the FCA’s qualification requirements for retail investment advisers, demonstrating core technical knowledge and financial planning capabilities across six core areas.

  • FPC (Financial Planning Certificate)

    A recognition offered by the Chartered Insurance Institute in the United Kingdom. Individuals who hold this qualification have satisfied coursework and testing requirements set by the organisation.

  • FP1 (Financial Services and their Regulation)

    Assesses an understanding of the financial services industry, including regulation and legislation.

  • FP2 (Protection, Savings and Investment)

    Assesses an understanding of protection, savings and investment products.

  • FP3 (Identifying and Satisfying Client Needs)

    Assesses an understanding of conducting a fact-find, assessing the client’s needs, and recommending specific (appropriate) financial products to meet those needs.

  • J07 (Supervision in a Regulated Environment)

    At the end of this unit, candidates should be able to demonstrate an understanding of: the supervisors role in a regulated organisation; recruitment, training, attaining competence, maintaining competence and supervising competence; management information and performance standards; Financial Conduct Authority rules and guidelines in respect of competence and supervision; the legal and regulatory aspects of employment and supervision.

  • R01 (Financial Services, Regulation and Ethics)

    This qualification assesses a knowledge and understanding of the financial services industry, including regulation, legislation and the Code of Ethics.

The professional side of things

Kate has more than 20 years of experience in the financial services profession, working in a variety of roles, which has given her a great breadth of knowledge and experience.

Day to day, she keeps the risk of the business as low as possible using different systems and controls. She also works closely with the financial planners to ensure Butler Toll is hitting any regulatory requirements while providing exactly what clients need.

Away from the office

Kate has a jam-packed life outside of work, with three children and a dog to look after. Her time is usually split between clubs, football or rugby matches and taking their cheeky pup out and about.

The entire family adores music, sports and the outdoors, so they’ll usually be found at a music festival, the beach or watching a sports game.

What are the three things that you love the most about your job?

  • Working closely with clients
  • Making a difference for those we help
  • Collaborating with a great team.

What has been your career highlight so far?

Developing and launching an adviser-owned platform in my last role.

Where is your favourite holiday destination?

This is so hard. I could write a list of places from around the world I’ve been lucky enough to have visited, but for me, it always comes back close to home. I’m still torn between Devon or Cornwall, though!

What’s your favourite song to play in the car?

That very much depends on mood as my music taste is eclectic… Something uplifting by Coldplay is always good.

If you could turn any activity into an Olympic sport, what would you win a gold medal in?

Probably eating and enjoying food.

Our team that makes it all happen

Our talented team

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    Copyright 2025 Butler Toll Financial Planners

    Butler Toll Ltd trading as Butler Toll Financial Planners is authorised and regulated by the Financial Conduct Authority. Butler Toll Limited is entered on the FCA register (www.FCA.org.uk) under no. 442229. Registered office: Regus House, Windmill Hill Business Park, Whitehill Way, Swindon, Wiltshire, SN5 6QR. Registered in England and Wales. Company number: 05460739.

    The Financial Conduct Authority does not regulate tax planning, estate planning, cash flow planning, wills or trusts.

    The Financial Ombudsman Service is available to sort out individual complaints that clients and financial services businesses aren’t able to resolve themselves. To contact the Financial Ombudsman Service please visit www.financial-ombudsman.org.uk.

    Consumer Duty Alliance

    The Consumer Duty Alliance, launched 9 March 2023, is an independent, ‘not-for-profit’ professional body. It aims to support the personal finance sector in the adoption and implementation of the FCA’s Consumer Duty requirements through the alliance of like-minded individuals and firms.

    Financial Vulnerability Charter

    The Financial Vulnerability Taskforce created this Charter in 2021 and it has over 1,000 firms. It focuses specifically on vulnerability and forms a key part of the Consumer Duty Alliance Code of Professional Standards.
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