Experience

Investment Fund Services Limited (IFSL)

• United Kingdom
• Investment Management
• 1 - 100 Employee

• Compliance Analyst

  • Sep 2017 - Present



Marlborough

• United Kingdom
• Investment Management
• 100 - 200 Employee

• Compliance Analyst

  • 2017 - Present



Reassure (part of the Swiss Re Group) and formerly Guardian Financial Services

• Lytham St.Annes, Lancashire

• Compliance Consultant

  • 2015 - 2017

  • Supporting the provision of compliance advice and guidance to the business • Supporting the Compliance Manager and Boards on compliance activities • Maintain compliance knowledge of applicable regulatory and legislative rule • Supporting the oversight of business compliance procedures and processes • Supports the application of conduct risk in the business in line with industry best practice • Supports the Compliance Manager in the development, maintenance and delivery of: o Regulatory horizon scanning o Project oversight for compliance related aspects o Risk-based product reviews and communications/promotions review and sign off o Compliance monitoring and oversight, including Outsourced Service Providers o Incident, loss and breach management o Financial crime incident and resolution process o Compliance advice and engagement and knowledge building with the first line Show less



Guardian Financial Services

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Project Workstream Lead

  • 2012 - 2015

  • Developing and maintaining an agreed project plan and detailed stage plan(s), working with the Technical Project Manager and Programme Manager to include the workstream plan in the overall integrated project and technical plans • Performing the overall day-to-day management of the workstream to ensure that project objectives are achieved within time/cost/quality constraints, whilst managing stakeholder expectations • Lead the Workstream Team giving direction and motivation • Responsible for developing the project documentation (including Project Plan) that relates to the specific workstream • Monitor work to ensure quality control • Performs management of risks, including the development of contingency plans • Facilitates and designs workshops as required • Engaging any additional subject matter experts or functional experts • Support the Technical Project manager to ensure a common understanding of technical requirements and successful delivery of those requirements to the overall Programme • Prepares progress reports for submission to the Project Manager/PMO Show less