Experience

Greyfriars Asset Management LLP

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Head of Compliance

  • Mar 2018 - Present

  I currently applying for the CF10 and CF11 Director of Compliance function on the FCA register. I oversee all compliance and client planning issues, including full Quality Assurance file reviews. This includes adviser training, implementing processes and control functions to FCA standards. Also I am responsible for all T&C, CPD Oversight for advisers with consumer visits. I am responsible for the P.I. and complete the relevant GABRIELE returns and responsible for Authorised Persons via Connect. The company is also under a section 166, (prior to my arrival) I assist in moving the company forward to a beneficial outcome. I also oversee the complaint department. As the firm holds client money, and has its own in house SASS and SIPP, I have oversite on CASS concerns. Currently in the process of setting up an Investment Committee and directing the Pension Transfer Specialist with Defined Benefit Pension reviews.



Silverginger Resources

• Subject Matter Expert

  • Apr 2014 - Present

  Contractor, for Financial services at Silverginger ResourcesSME for one of the big four financial companies. Advising on policy to an outsourced company on a S166.Role includes, process planning,project management,analysing risk, delivering training, case clinic decision making, over site and advice on policy and implementing changes.



KPMG UK

• United Kingdom
• Accounting
• 700 & Above Employee

• Past Business Investment case review

  • Apr 2013 - May 2014

  Full review of past business Investment advice.Review includes all ISA's, OEIC's/Unit Trusts,Investment Bonds,Personal Pensions, Annuities and Offshore / International Bonds.Work also includes complex Trust cases such as DGT's & Gift & Loan trust cases.Full case ownership which include preparing cases for calculations and advising / calculating on redress criteria.



Contractor financial services

• Regulated complaint handler

  • Apr 2012 - Jan 2013

  Full case ownership, addressing customer complaint points, analysing and data gathering, which includes interviewing customer and adviser by telephone and or in writing. Making a final decision, calculating redress and writing a detailed letter to the client with my findings,which would involve making an offer to the client.



EQHazellCarr

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Pension switch reviewer

  • Aug 2010 - Apr 2012

  Pension Switch Reviewer Salary July 2010 – April 2012 Over 18 months experience reviewing HSBC‘s Pension transfers that took place from 2001 to 2009, duties include,• Full case ownership• Assessing individual cases using FSA guidelines & HSBC checking stances, which includes identifying clients attitude to risk, circumstances, pension rules & regulations, analysing and comparing pension products then finally making the overall decision• Contacting via letter or telephone then interviewing customers & pension providers.• Obtaining the correct information in order to apply redress & then writing to the client.• Maintaining HSBC’s compliance and Data Protection Act high standards.• Training and mentoring new starters.• Identifying potential risks to the project attending, high level meetings.• Full responsibility of the illustration system & quality checking duplicate company pension illustrations.



Legal & General

• United Kingdom
• Financial Services
• 700 & Above Employee

• Business Development Manager Wealth

  • Dec 2006 - Jun 2010