Experience

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  Auto Trader UK

  • Hemel Hempstead, England, United Kingdom

  • Compliance Manager

    • Oct 2022 - Present
    • Hemel Hempstead, England, United Kingdom

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  Close Brothers Asset Finance and Leasing

  • Compliance Manager

    • Feb 2020 - Feb 2022

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  Close Brothers

  • Training and Policy Manager

    • Sep 2014 - Feb 2020

    I returned to work after a 6 year career break to have children and joined Close Brothers in a part-time role.In the Group team I was lucky to enjoy a variety of responsibilities.- Regulatory OversightAnalysing the future changes to regulation that would impact the businesses across the Group, I prepared and chaired the Regulatory Oversight Group for 5 years.- TrainingResponsible for the CBT Compliance programme for the Bank, writing and editing courses, presenting the Compliance Induction to new joiners, and executed a face-to face training programme for over 500 people on new Whistleblowing procedures.- PoliciesWritten key policies and provided advice to the business and compliance advisory teams, updating associated training modules.

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  RBS

  • Compliance Manager

    • Jun 2002 - Jul 2007

    Corporate Banking and Financial Markets Division • MiFID – I was part of the MiFID implementation project team, providing detailed analysis of numerous consultation papers and EU Directives. I attended many industry body meetings and briefings in order to enable RBS to actively take part in the development of the new rules and as part of my role tracked the implementation of MiFID across the RBS branches in Europe.• Insurance – I worked with the Corporate Banking team during the roll out of the insurance regulations which impacted the Motor Finance Division of RBS.My role also included European Coordination - analysis of upstream risks, regulatory oversight of the European branches, preparation of the European Compliance manual, policies and AML trainingRegulatory Policy - attendance at trade association meetings and analysis of proposed new regulationsTraining - delivery of Compliance Induction to UK staff, AML training to all European branch employees and development of Market Conduct CBT

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  Moores Rowland

  • Compliance Consultant

    • Jun 1997 - Jun 2002

    Compliance Consultant to a number of IMRO and SFA firms, eg stockbroking, hedge fund managers and spread betting. Main activities - compliance monitoring, regulatory audits and preparation of authorisation documents i.e. compliance manuals, for FSA applications and presentations on compliance updates both in-house and externally.

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  MeesPierson Derivatives

  • Compliance Specialist

    • Nov 1993 - Jun 1997

    Joining on a graduate program, I Initially spent 6 months in the back office learning all the processes then a project for the Compliance Officer led me to my first Compliance role. I was responsible for the account opening and AML checks, the annual compliance review and AML training.