Chris Mills - Int.Dip(GRC) CeMap

Senior Compliance Business Partner at The West Brom
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Contact Information
us****@****om
(386) 825-5501
Location
UK
Skills

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David Price

Chris was always a pleasure to manage and to work with. Chris continually delivered good results and was always looking for a way of improving his skills and those around him. A dedicated and forward thinking professional who I will always remain in contact with.

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Credentials

  • International Diploma in Governance, Risk and Compliance
    International Compliance Association
    Mar, 2020
    - Oct, 2024
  • Customer Services Professional
    IFS School of Finance
    Sep, 2010
    - Oct, 2024
  • Certificate in Mortgage Advice and Practice (CeMap)
    IFS School of Finance
    Jan, 2003
    - Oct, 2024
  • ICA Professional Membership
    International Compliance Association
    Dec, 2022
    - Oct, 2024

Experience

  • The West Brom
    • United Kingdom
    • Financial Services
    • 200 - 300 Employee
    • Senior Compliance Business Partner
      • Jan 2022 - Present

      > Responsibility to provide sound, accurate and commercial advice on regulatory (conduct and data protection) matters affecting the business, that enables the business to operate in accordance with industry best practice as well as meeting regulatory standards. In addition, responsibility for a number of compliance administration tasks such as regulatory reporting and Senior Management Regime administration and line management for the Compliance Business Partners.> Provide input into the Compliance, Data Protection & Financial Crime Risk Management Frameworks and policies to provide the Society with a Risk Assurance function as a 2nd line of defence, to protect both the Society and its customers by ensuring Compliance Risk are effectively identified and managed.> Manage and co-ordinate control testing activities as part of the monitoring plan and lead a team of Compliance Monitoring Analysts in the day to day activity of discharging the Compliance Monitoring Plan.

    • Operational & Conduct Risk Business Partner
      • Nov 2020 - Dec 2021

      As an Operational & Conduct Risk Business Partner the role requires working with all business areas supporting and challenging them in identifying, assessing and treating operational, conduct and information risks. I am required to present reports to regular forums such as the Operational, Conduct and Information Risk Group. The role also involves analysing and interpreting a range of Management Information from departments (Risk Registers, Risk Events and Measurement reporting) as well as the risk management database. The results of this work will be evidenced through ongoing day-to-day analysis as well as an ability to challenge and advise departments in terms of areas of improvement. This role requires an ability to show constructive thinking in terms of ideas as well as forward planning as part of project planning and day-to-day deadline management.

    • Retail Manager
      • Mar 2016 - Nov 2020

      Responsible for 7 direct reports and 35 non-direct reports across 7 branches. Key responsibilities include:* Offering excellent customer service through a customer centric focus.* Overseeing the operational and audit controls across the group.* Lead branch teams to deliver key goals in line with business requirements.* Coach, support and mentor all direct and non-direct reports to be the best they can be.* Provide strategic guidance as part of the branch network senior management team.* Support wider business projects by utilising experience* Central point of support for compliance and risk matters within the branch network.*. Recruitment for all roles within the branch network.

    • Branch Manager
      • Jul 2010 - Mar 2016

      Manage 6 direct reports and tasked with bringing branch to target across 3 key areas including income from Financial Services and Mortgage Advice. Key responsibilities are:* Generating quality appointments for sales specialists.* Building relationships with key stakeholders in branch such as Financial Adviser and Mortgage adviser.* Coaching and mentoring direct reports to exceed their individual targets.* Maintaining high audit standards in line with FSA guidelines, especially around Money Laundering.* Complaint handling.

    • Deputy Senior Branch Manager
      • May 2009 - Jun 2010

      Branch management and sales including structured products, life & critical illness, income protection, general insurance etc.

    • Senior Personal Mortgage Manager
      • Aug 2007 - May 2009

      Managed a team of 7 Personal Mortgage Managers to deliver area sales targets for mortgages including cross sales opportunities for all related insurance products. As part of this role I was also responcible for all aspects of Training and Compliance for my 7 direct reports, delivering high standards in line with FSA regulations.

    • Personal Mortgage Adviser
      • Apr 2005 - Aug 2007

      Providing face to face mortgage advice to clients in a regulated environment and consistently achieving required sales results while maintaining high compliance standards.

    • Various Roles
      • Jun 1998 - Mar 2005

      I originally started my career at the Society as an adhoc Customer Service Adviser while I was studying at University. After leaving university I was fortunate enough to move on to a Trainee Management programme with the Society and began to move my way through the "ranks" at the Society. During this time I occupied many roles including Assistant Manager and Branch Manager. These early years have helped form my career at the Society to date and have allowed me to experience many functions of the Society that has allowed me to build a broader picture of the company and the skills required to succeed.

  • WBBS (SRS) LIMITED
    • United Kingdom
    • Financial Services
    • Member Nominated Director
      • Dec 2020 - Present

      As a trustee of a scheme offering DB benefits, I have a responsibility to ensure there is enough money in the scheme to pay members’ pensions as and when they need to be paid. Other responsibilities include: > contributions > financial records and requirements > investment > your professional advisers and service providers > pension scheme records > members > registration, scheme return and collecting levy > reporting certain matters to the regulator

  • The Kaleidoscope Plus Group
    • United Kingdom
    • Wellness and Fitness Services
    • 1 - 100 Employee
    • Chairperson
      • Dec 2019 - Present

      Chair of the board of directors supporting the executive to deliver against strategic objectives. Providing guidance and scrutiny on financial management information and risk management and controls. Supporting fellow board members and chairing meeting to achieve successful outcomes.

    • Treasurer
      • Dec 2016 - Dec 2019

      The Kaleidoscope Plus Group is a registered charity and a company limited by guarantee. We were established in 1973 and are one of the leading health and wellbeing charities in the Midlands.The Kaleidoscope Plus Group works to promote and support positive health and wellbeing and we are committed to making sure that the services and facilities we provide are of the highest possible quality and that they continue to develop to meet the needs of the communities we serve.The organisation has a board of voluntary trustees who are responsible for the overall management and direction of the charity and its services.The day to day responsibility for managing the organisation’s activity is delegated to a team of paid staff who are accountable to the Trustees.Service users are a vital part of the organisation.The Kaleidoscope Plus Group exists to help people achieve better health and wellbeing and our aim is to deliver services in a way that users value and appreciate.

    • Chair
      • Mar 2013 - Dec 2016

      Director position and Chair of the subsidary company of The Kaleidoscope Plus Group, formerly Sandwell Mind. Responsible for key strategic and decision making of the subsidiary for the benefit of the main charity. Kaleidoscope Plus Commercials is the wholly owned trading subsidiary of The Kaleidoscope Plus Group, a leading Health and Wellbeing Charity.Established in 2013 to help the Charity diverse income streams and secure sustainable revenue, Kaleidoscope Plus Commercials manages Hawthorns House, a 5,600m2 office building in the heart of the West Midlands.We also provide a range of bespoke and accredited training packages and consultancy services.

  • Sandwell Parents for Disabled Children
    • Sandwell
    • Vice Chair
      • Dec 2012 - Dec 2019

      Trustee responsible for monitoring activities within the charity. This includes strategic planning, funding, budget planning etc. A key aspect of my role is challenging the way things are done in an appropriate manner to get the best out of the management team and therefore the best outcome for the charity. Sandwell Parents for Disabled Children (SPDC) is a voluntary organisation founded in 2003 by a group of parents and carers of disabled children who were frustrated at the lack of play and leisure provision in the borough for their children. SPDC’s core function is to provide play, leisure & social opportunities for disabled children with the inclusion of siblings and parents/carers and to work with other service providers to ensure that disabled children are included. Our mission is that every disabled child or young person living in Sandwell should have access to a range of play and leisure opportunities that enables them to stay safe, be healthy, enjoy and achieve and make a positive contribution to others.

  • Union Support
    • Vice-Chairman (Branches)
      • Apr 2010 - Apr 2015

      I am currently Vice-Chairman (Branches) for the West Bromwich Building Society's Staff Union. I was elected to the committee in April 2010 and have been accredited to deal with grievances and disciplinaries. This role allows me to act on behalf of the members and help them with any queries and issues they may have with regards to their employment with the Society. This opportunity has also had the additional impact of assisting me with my own job role and understanding issues from both an employer and employee perspective. I have recently overseen the successful bid for Union Learn Funding that has brought in a six figure sum to allow members to benefit from learning opportunities outside of work. I have balanced Project Management of the bid and initial stages of the project with my day job prior to successful recruitment of a full time project manager.

Education

  • Birmingham City University
    BA, Business Administration & Finance
    1998 - 2001

Community

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