Rebekah J.
Senior Compliance Assistant at H.W.Wood Limited- Claim this Profile
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Bio
Credentials
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First Aid Training
St John Ambulance -
Standard – CPR / AED / First-Aid Certification Course
St John Ambulance
Experience
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H.W. Wood Limited
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United Kingdom
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Insurance
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1 - 100 Employee
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Senior Compliance Assistant
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Dec 2019 - Present
An advisory role, assisting all divisions, providing guidance, technical advice and solutions for compliance queries from all divisions across the business, including sanctions queries, agreement reviews, complaint handling, KYC on-boarding. As well as, reviewing procedures, carrying out gap analysis on new legislation and regulations.I consider myself a pro-active member of the team; willing to take on challenges and address gaps, in order to streamline procedures. An advisory role, assisting all divisions, providing guidance, technical advice and solutions for compliance queries from all divisions across the business, including sanctions queries, agreement reviews, complaint handling, KYC on-boarding. As well as, reviewing procedures, carrying out gap analysis on new legislation and regulations.I consider myself a pro-active member of the team; willing to take on challenges and address gaps, in order to streamline procedures.
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StarStone Insurance
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Bermuda
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Insurance
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1 - 100 Employee
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Compliance Analyst
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Apr 2018 - Nov 2019
I supported the European Head of Compliance and Compliance Officer with day to day compliance monitoring, ad-hoc projects and regulatory returns including those to Lloyd’s, the FCA and PRA Being the first point of contact for complaints notifications from the business, including monitoring deadlines, drafting acknowledgements and stage one responses and maintaining the complaints logCompliance monitoring: individual underwriting authority level and syndicate maximum level monitoring through a suite of exception reports Drafting of departmental reports and producing management information in respect of complaints, monitoring and other compliance related activity Secretary to the Product Oversight Group - Completing and circulating the Conduct MI Packs on a Quarterly basis to the members
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Compliance Assistant
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Nov 2015 - Apr 2018
Supporting the UK Compliance Team through the operation of core compliance processes including, but not limited to:• Monitoring the Compliance Diary to ensure all internal and external deadlines are adhered to across all departments • Key contact for underwriters for general queries • Providing support to the Delegated Underwriting Function • Assist with the coordination, completion and submission of various Lloyd’s, FCA and other regulatory returns/forms in line with prescribed deadlines
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Temporary Administrative Assistant
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Oct 2015 - Oct 2015
A temporary assignment assisting Southern Contract Services (SCS) resolve accounts and bookkeeping queries. Also providing support to members of staff by undertaking a range of administrative tasks. A temporary assignment assisting Southern Contract Services (SCS) resolve accounts and bookkeeping queries. Also providing support to members of staff by undertaking a range of administrative tasks.
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H.W. Wood Limited
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United Kingdom
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Insurance
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1 - 100 Employee
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Compliance Assistant
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Feb 2015 - Sep 2015
Supporting the Head of Compliance with the day to day Compliance Monitoring, executing a wide range of administration duties to support the Compliance Department’s activities.Assisting the Marine, Fine Art and Specie lines of business by providing guidance, technical advice and overall ensuring Compliance and Risk is established as part of day-to-day operations and activities.• Maintaining Complaints, Breaches, Conflict of Interest and Gifts and Entertainment Logs• Due Diligence checking for both clients and entities using a risk screening tool, Dow Jones• Preparation of meeting packs and minute taking • Preparation of Quarterly RMAR returns to the FCA• Produce monthly reports and statistics where required• Monitor Insurer Security ratings in accordance with Company minimum requirements
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Howden Insurance Brokers Limited
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United Kingdom
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Insurance
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700 & Above Employee
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Operations Assistant / Operational Compliance Representative, North American Property Division
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Jul 2013 - Feb 2015
Responsible for reviewing, preparing and creating renewal files for Brokers.Processing of Premiums on Brokasure, ensuring processing took place prior to Month End deadlinesCreating Endorsements and Addenda on all accounts within the DivisionCreating and Sending Cover Notes, Debit and Credit NotesLiaising with Clients, Insurers and other business areas via email and telephone to resolve any arising queriesMonitoring Compliance within the team’s everyday tasks by: conducting regulatory checks on World-Check on Clients, Insureds and Reinsureds; Set up of new Agents; Maintaining Breaches, Conflicts and Gifts and Hospitality Records; Submitting MI to Compliance on a monthly basis
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PA/ Compliance Team Assistant
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Oct 2011 - Jul 2013
• Supporting and managing the diaries of the Head of Compliance and a small Compliance Team• Arranging of travel and booking of flights and hotels where required• Assisting in the preparation and delivery of presentations for both internal and external use including Compliance training for 150+ staff• Prepare agenda notes and take minutes for the various Compliance and Committee meetings • Receive visitors and incoming telephone calls, providing a professional service at all times• Undertake due diligence checking for both clients and entities using risk screening tools • Monitor Insurer Security ratings in accordance with Company requirements• Maintaining up to date and accurate records of Complaints, Breaches, Conflict of Interest and Gifts and Entertainment Logs
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Administrative Assistant - PI Division
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Aug 2011 - Oct 2011
• Creating new client files, scanning and electronically filing documentation• Logging data extracted from client proposal forms into Salesforce• Corresponding with clients confirming cover via email
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Education
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2004 - 2009
Britons School and Technology College
High School
Community
