Experience

Optiva Securities

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Compliance officer / MLRO / Executive Director

  • Oct 2022 - Present

• Compliance Manager

  • May 2015 - Present

  Responsible for managing all regulatory risk and compliance matters whilst maintaining effective communication with all company stakeholders. Ensuring the business runs compliantly according to FCA regulations including full customer KYC and due diligence. Responsible for managing the firms compliance function.Responsible for the firms implementation of MiFID II. Reviewing and adjusting the current in-house procedures and processes. To create a more LEAN and efficient business.Monitor compliance and testing procedures in-line with COBS, SYSC and AML. Review all compliance and risk procedures across the business.Complete regular file reviews to ensure that all the files are kept up to date and current with client suitability reviews.Complete quarterly compliance and risk dashboard outlining potential risks and breaches to the company.Issue any procedure or internal policy changes to staff.Carry out internal audits and stress tests of the firm to ensure the firm keeps controllable losses to a minimum and is compliant with FCA regulation. Monitor all transaction carried out by the firm and completing SAR reports where necessary and reporting to the firm's MLRO.Monitoring any potential conflicts of interest through the firm's gifts and hospitality register.Deliver a robust administrative and compliance framework.Complete stock transactions into settlements/booking system.Carry out internal/external payment investigations.Responsible for the upkeep of firms CRM system.

• Operations Director

  • Jan 2021 - Oct 2022



J.L.P. Maintenance Services ltd

• Director - Business Owner

  • Nov 2017 - Present

  JLP Maintenance services have over 30 years experiences in the Plumbing and heating industry. Our skilled Engineers are fully qualified and are Gas safe registered for your peace of mind. We pride ourselves on our friendly and professional service to all clients, no job is ever to small.We offer a wide range of services;- Boiler Installation & servicing- Fault detection- Powerflush- Gas safety Certificates (CP12)- Radiator installation & Servicing- All bathroom plumbing inc installationAll engineers are gas safe registered and all engineers are part of the Valiant advance scheme.To speak with a member of our dedicated team please call 0203 916 5987.We cover N/W/S/E London and Essex areas



TSB Bank

• United Kingdom
• Banking
• 700 & Above Employee

• Local Manager

  • Sep 2013 - May 2015

  Overseeing a number of branches throughout London managing a team of 10 plus employees. Delivering excellent client experience's and ensuring all staff remained compliant to all FCA/PRA regulations and internal procedures. Overseeing a number of branches throughout London managing a team of 10 plus employees. Delivering excellent client experience's and ensuring all staff remained compliant to all FCA/PRA regulations and internal procedures.



Lloyds Bank

• United Kingdom
• Banking
• 700 & Above Employee

• Customer Service Manager

  • Jan 2011 - Sep 2013

• Personal Banking Manager

  • May 2008 - Jan 2011



Vaultex UK Ltd

• United Kingdom
• Financial Services
• 300 - 400 Employee

• Team Leader

  • Apr 2005 - May 2008

  •Responsible for a team of 20 to 25.•Ensuring the whole team carried out there day to day duties in line with set KPI's.•Ensured a high level of security was maintained in a high cash environment•Responsible for ensuring all work was completed within time scales to avoid industry fines.•I had to deal with daily customer quires.•Responsible for LEAN process management for my department working on and creating new standard operating procedures to cut out waste.