Brett Hanlon GradIRM
Chief Risk & Compliance Officer at Söderberg & Partners Wealth Management Ltd- Claim this Profile
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Bio
Julian Myers
Brett has been providing invaluable guidance for The Partnership Trust (a multi academy trust comprising 18 schools) on a major review of the risk management framework to make our approach more strategic, consistent and effective. He has taken care to develop a really thorough understanding of The Trust’s structure to ensure the approach being taken is fully tailored to our situation. Brett is able to explain risk management so that the Trust staff can see tangible benefits from the risk methodology changes he has suggested.
Patrice Locker
Brett is a highly experienced and qualified risk professional who has offered me invaluable support whilst completing my International Diploma in Enterprise Risk Management. Brett has also acted as a sounding board for proposed changes to the ERM process in my Organisation.
Julian Myers
Brett has been providing invaluable guidance for The Partnership Trust (a multi academy trust comprising 18 schools) on a major review of the risk management framework to make our approach more strategic, consistent and effective. He has taken care to develop a really thorough understanding of The Trust’s structure to ensure the approach being taken is fully tailored to our situation. Brett is able to explain risk management so that the Trust staff can see tangible benefits from the risk methodology changes he has suggested.
Patrice Locker
Brett is a highly experienced and qualified risk professional who has offered me invaluable support whilst completing my International Diploma in Enterprise Risk Management. Brett has also acted as a sounding board for proposed changes to the ERM process in my Organisation.
Julian Myers
Brett has been providing invaluable guidance for The Partnership Trust (a multi academy trust comprising 18 schools) on a major review of the risk management framework to make our approach more strategic, consistent and effective. He has taken care to develop a really thorough understanding of The Trust’s structure to ensure the approach being taken is fully tailored to our situation. Brett is able to explain risk management so that the Trust staff can see tangible benefits from the risk methodology changes he has suggested.
Patrice Locker
Brett is a highly experienced and qualified risk professional who has offered me invaluable support whilst completing my International Diploma in Enterprise Risk Management. Brett has also acted as a sounding board for proposed changes to the ERM process in my Organisation.
Julian Myers
Brett has been providing invaluable guidance for The Partnership Trust (a multi academy trust comprising 18 schools) on a major review of the risk management framework to make our approach more strategic, consistent and effective. He has taken care to develop a really thorough understanding of The Trust’s structure to ensure the approach being taken is fully tailored to our situation. Brett is able to explain risk management so that the Trust staff can see tangible benefits from the risk methodology changes he has suggested.
Patrice Locker
Brett is a highly experienced and qualified risk professional who has offered me invaluable support whilst completing my International Diploma in Enterprise Risk Management. Brett has also acted as a sounding board for proposed changes to the ERM process in my Organisation.
Credentials
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International Diploma in Governance, Risk and Compliance
International Compliance AssociationSep, 2021- Nov, 2024 -
International Diploma in Enterprise Risk Management
Institute of Risk ManagementAug, 2020- Nov, 2024 -
Project Management Foundations: Risk
LinkedInFeb, 2019- Nov, 2024 -
CF2 Investment and Risk
Chartered Insurance Institute -
Certificate in Training Practice
CIPD -
FPC I, II and III
Financial Conduct Authority -
IAQ 1
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ILM Manager of Managers
ILM -
International Certificate in Financial Services Risk Management
Institute of Risk Management
Experience
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Söderberg & Partners Wealth Management Ltd
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United Kingdom
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Financial Services
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1 - 100 Employee
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Chief Risk & Compliance Officer
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Mar 2023 - Present
Risk & Compliance Oversight and DPO Risk & Compliance Oversight and DPO
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Novia Financial Plc
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United Kingdom
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Financial Services
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100 - 200 Employee
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Head Of Risk
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Oct 2021 - Mar 2023
Management of the enterprise level risk framework, risk appetites, operational controls and integrated reporting. Delivery of the Risk & Control Self-Assessment program. Executive, Board and Risk Committee reporting. Delivery of the ICAAP(ICARA), oversight of the internal Audit relationship and support for the Client Money & Assets Committee. Oversight and delivery of the 2nd Line Monitoring plan. Data Protection, Operational Resilience, Change Management and 3rd Party risk oversight
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Senior Risk Manager
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Jun 2017 - Oct 2021
Management of the enterprise level risk framework, risk appetites, operational controls and integrated reporting. Delivery of the Risk & Control Self-Assessment program. Executive, Board and Risk Committee reporting. Delivery of the ICAAP, oversight of the internal Audit relationship and support for the Client Money & Assets Committee.
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Target Servicing Limited
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United Kingdom
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Financial Services
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1 - 100 Employee
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Risk Manager
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Oct 2013 - Jun 2017
• Providing direct support for the Risk & Compliance Director • Monthly reporting – Risk Reports, TCF MI and ad hoc risk assessments• Design and implementation of a Risk Management Framework, Risk Language, Appetites and Tolerances • Monthly board sub-committee management – Audit & Risk Committee• Operational risk oversight – Risk Control Frameworks, Breach and Incident Management • Risk investigation and analysis – Projects, Significant Change • Client relationship activity through governance meetings, dedicate B2B risk meetings and client site visits• Deputy Data Protection Officer – overseeing licenses, compliance and incidents• Oversight and governance of breach reporting, investigation, root cause and trend analysis.All responsibilities cover, in the main, the servicing of 1st and 2nd Charge Lending, Buy-to-Let, unsecured loans and the design/delivery of software to support these products. These responsibilities also cover structured investment products and Government payment collection services. Show less
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Senior Compliance Executive
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Mar 2012 - Oct 2013
• Providing support for the Interim Risk & Compliance Team Manager • Monthly reporting sign off • Transaction and Complaint surveillance • Regulatory investigation and analysis • Project On-boarding support • Business improvements for complaints monitoring• Sanction checking and SAR investigation
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Interim Risk & Compliance Team Leader
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Jul 2011 - Feb 2012
• Providing support for the Head of Risk & Compliance • Monthly reporting sign off• Transaction and Complaint surveillance • Regulatory investigation and analysis • Project On-boarding support • Line management of Investment Compliance Team • Representation of Investment Compliance in Service Reviews
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Senior Compliance Executive (Investments)
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Sep 2010 - Jul 2011
• Providing support for the Interim Risk & Compliance Team Manager • Monthly reporting sign off • Transaction and Complaint surveillance • Regulatory investigation and analysis • Project On-boarding support for Roxy/Zeus/Zulu/Kronos• Business improvements for complaints monitoring• Sanction checking and SAR investigation
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Compliance Executive
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May 2010 - Aug 2010
• Providing support for the Senior Compliance Executive Investments• Monthly report production • Transaction and Complaint surveillance • Regulatory investigation and analysis • Project support for SCV implementation and new client migration • Sanction checking and SAR investigation
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Client Servicing Executive
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Mar 2010 - Apr 2010
• Providing frontline telephone customer contact and administration duties for various investment books administering structured deposits and true structured products • Additional duties including product maturity support covering data integrity checking and client mailing proof reading
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Legal & General Investment Management (LGIM)
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United Kingdom
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Financial Services
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700 & Above Employee
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Various
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Jul 1999 - Oct 2009
Jan 2008/Oct 2009 - Treating Customers Fairly Manager + Complaints Management Information Manager June 2006 - Head of Complaints for Retail Investments Division July 2005 - Training Manager for Retail Investments Division March 2004 - Product and Technical Trainer Feb 2002 - Financial Review Quality Assurance April 2001 - Team Manager July 2000 - Senior Product Technical Agent July 1999 - Customer Service Call Centre Agent Jan 2008/Oct 2009 - Treating Customers Fairly Manager + Complaints Management Information Manager June 2006 - Head of Complaints for Retail Investments Division July 2005 - Training Manager for Retail Investments Division March 2004 - Product and Technical Trainer Feb 2002 - Financial Review Quality Assurance April 2001 - Team Manager July 2000 - Senior Product Technical Agent July 1999 - Customer Service Call Centre Agent
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Education
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Aberystwyth University
Mathematics
Community
