Experience

Vetsure Pet Insurance

• Regulatory Affairs and Compliance Manager

  • Jun 2022 - Present

  Hatfield, England, United Kingdom • Heading up the Compliance department within the business. • Working closely with FCA to complete RegData and REP submissions. • Ensuring the company are complaint with their day to day dealings within the Pet insurance industry as a insurance intermediary. • Working closely with Senior Managers to ensure their departments are reporting any risks, breaches or other issues that arise within the business. • Compiling and presenting risk register, compliance breaches, audits, and MI… Show more • Heading up the Compliance department within the business. • Working closely with FCA to complete RegData and REP submissions. • Ensuring the company are complaint with their day to day dealings within the Pet insurance industry as a insurance intermediary. • Working closely with Senior Managers to ensure their departments are reporting any risks, breaches or other issues that arise within the business. • Compiling and presenting risk register, compliance breaches, audits, and MI to senior board members and senior management. • Maintaining policy wording documents, business insurances (PI and D&O) and implemented Consumer Duty Plan and Business Continuity Plan within the business. • Updating the company on all compliance and regulatory changes that could affect the business or certain department(s) via horizon scanning. • Being the point of contact for all compliance and regulatory questions internally and externally. • Liaising with underwriters on a monthly basis regarding the business dealings especially with regulatory reports. • Second line compliance monitoring for customer service, FOS complaints and operations audits. • Quarterly compliance meetings held with board members and senior managers. Show less



Sytner Group

• United Kingdom
• Retail Motor Vehicles
• 700 & Above Employee

• Data Privacy and Compliance

  • Mar 2022 - Jun 2022

  Leicestershire, England, United Kingdom • Working closely with ICO, internal departments and Sytner showrooms to ensure data protection complaints are investigated within the timeframe stipulated by the ICO. • Compliance data audit checks carried out at Sytner dealerships and reports stating my findings presented to the Head of Business and Head of Compliance with actions moving forward. • Quality audits; ensuring members of the team are stating the correct resolution based on evidence provided to customers and ensuring… Show more • Working closely with ICO, internal departments and Sytner showrooms to ensure data protection complaints are investigated within the timeframe stipulated by the ICO. • Compliance data audit checks carried out at Sytner dealerships and reports stating my findings presented to the Head of Business and Head of Compliance with actions moving forward. • Quality audits; ensuring members of the team are stating the correct resolution based on evidence provided to customers and ensuring customers understand the outcome and next steps. • Weekly presentations to the senior board on data protection breaches. Show less



Next

• Netherlands
• Online Media

• Monitoring Compliance Officer

  • Aug 2021 - Nov 2021

  Enderby, England, United Kingdom • Carrying out end to end thematic and control reviews for areas of the business to ensure the business are complaint in regard to external audits. • Carrying out quality assurance reviews on customers service calls for over 15 areas of the business and holding consistency sessions with head of departments, managers and stakeholders to ensure the business are complaint with FCA, CONC and GDPR guidelines



CET UK

• United Kingdom
• Insurance
• 1 - 100 Employee

• Quality Assurance and Governance Executive

  • Feb 2021 - Aug 2021

  Castle Donington, England, United Kingdom • As part of the business compliance team, I liaise with internal departments, senior management, SMEs and stakeholders to warrant the Service is adhering to policies and regulations in place by carrying out quality checks and effective management of conduct and risk.

• Customer Relations Executive

  • Oct 2020 - Feb 2021

  Castle Donington, England, United Kingdom • Investigating complaints escalated by policy holders where the customer journey has been unsatisfactory. I liaise with incident managers, network managers, engineers, and insurance companies to reach a fair and transparent outcome whilst adhering to policy documents, FCA guidelines and FOS referral rights.



Financial Ombudsman Service

• United Kingdom
• Financial Services
• 700 & Above Employee

• Quality Assurance Specialist

  • May 2016 - Feb 2020

  London, England Metropolitan Area • Having worked various financial complaints ranging from life insurance, medical insurance, payment protection policies, short term lending, package bank accounts to mortgage policies, I portray a wide range of financial knowledge and this assisted me whilst carrying out quality checks on cases. The adjudicators would need to comply with FOS process, FCA guidelines, Code of conduct, DISP rules, follow policy documents and other submissions made from the business and consumer… Show more • Having worked various financial complaints ranging from life insurance, medical insurance, payment protection policies, short term lending, package bank accounts to mortgage policies, I portray a wide range of financial knowledge and this assisted me whilst carrying out quality checks on cases. The adjudicators would need to comply with FOS process, FCA guidelines, Code of conduct, DISP rules, follow policy documents and other submissions made from the business and consumer recollections. • I have designed, delivered and restructured training content when guidance was updated within the Service on relevant products. Having trained over 2,500 adjudicators within the Service from on-boarding, handling complaints, code of conduct, conflict of interest and how to assess cases correctly to name a few. I am confident in public speaking and was a proud ambassador for the Service. Show less

• Level 3 Adjudicator

  • Sep 2013 - Mar 2016

  Canary Wharf, London • Responsible for resolving disputes for a range of financial products between consumers and financial businesses, ensuring an impartial, fair and reasonable outcome was achieved. • Ensuring KYC and AML guidelines are met. Completing CDD checks and liaising with the MLRO when appropriate. • Analysing and interpreting complex information whilst following various financial regulations within the FCA Handbook such as ICOBS, COBS, CONC, MCOBS, and relevant legislation such as the IDD and… Show more • Responsible for resolving disputes for a range of financial products between consumers and financial businesses, ensuring an impartial, fair and reasonable outcome was achieved. • Ensuring KYC and AML guidelines are met. Completing CDD checks and liaising with the MLRO when appropriate. • Analysing and interpreting complex information whilst following various financial regulations within the FCA Handbook such as ICOBS, COBS, CONC, MCOBS, and relevant legislation such as the IDD and MiFID II. • Delivering outstanding customer service to all stakeholders and providing support and mentorship to colleagues. Show less


Deloitte
• Business Consulting and Services
• 700 & Above Employee
• Senior Complaints Team Lead

  • Jan 2013 - Aug 2013


Barclays

• India
• Outsourcing/Offshoring
• 1 - 100 Employee

• Quality Assurance Compliance Specialist

  • Oct 2011 - Jan 2013

• Personal Banker

  • Oct 2010 - Oct 2011


Carlton's Solicitors
• United Kingdom
• Law Practice
• Solicitor

  • Oct 2008 - Sep 2010