Head of Risk and Compliance (SMF16/SMF17)

• Mar 2022 - Present

Head Of Compliance

• Oct 2021 - Feb 2022

*Undertook ‘traceability’ studies against Financial Services books such as CONC, DISP, SYSC, COBS, WDPG *Reviewed and refreshed Compliance policies (Responsible lending, Vulnerable customers) whilst actively championing Treating Customers Fairly (TCF) guidelines *Refreshed the Wind Down Plan *Led, manage and mentored the Compliance and Complaints teams *Supported the design and structuring of new products, services and systems to ensure that they meet legal and regulatory requirements *Undertook Data Protection Impact Assessments

Head of Risk, Governance & Operational Support

• Jan 2020 - Jul 2021

*Designed, merged, built, and recruited the newly formed Control Environment team (1st Line Business Risk team for the Agency). *Led and managed governance, risk management and risk framework activities (Registers/Risk/Control/business control testing/root cause analysis), operational activities and key relationships. *Coached, trained and mentored colleagues to ensure appropriate knowledge, culture and values were being displayed. *Ensured governance structures and processes worked effectively and efficiently to enable informed decisions. *Ensured activities and assurance were planned, monitored, tested and undertaken appropriately to protect the agency, the Accountable Officer and Senior Responsible Officers. *Provided business control testing to assist with delivery and Assurance, provide quality control advice and provided challenge where appropriate. *Undertook ‘traceability’ studies to document accountabilities, responsibilities, evidence, and highlight gaps. *Met regularly with the Chief Executive and relevant Chief Officers to discuss relevant findings. *Provided expert advice on risks, controls, process in line with Financial Services (such as SYSC, COBS, CONC, DISP, SMCR) and Government standards to Senior Management and localised governance fora. *Lead the Operational Support payments team to ensure that recycling payments and Land Registry Charges were made/released appropriately.

Deputy, Transformation and Design, CBCF

• Dec 2018 - Aug 2019

*Designed structure and processes to support and articulate Change, Execution and Continual Improvement activity to CBBR (c250 colleagues) and recruited a team of 5 colleagues.*Formulated the strategy and plans for CBBR to transform into a function able to support new/future risks in a digitally enhanced world.*Organised, managed and led workshops to introduce new ways of working with key stakeholders and teams.*Supported Regulatory Change Programmes of work.

Deputy Programme Director, Ring-Fencing, Commercial Banking Control Function

• Jun 2016 - Dec 2018

*Mobilised a project team of 15 permanent colleagues and 6 consultants in a very short period of time to support and articulate actions required to CBCF (c250 colleagues).*Formulated the strategy and plans for CBCF to go-live and beyond.*Co-ordinated and led a team of permanent colleagues and consultants to drive and implement the activity.

Risk & Compliance

• Mar 2016 - Jun 2016

*Provided consultancy expertise to enable processes and procedures to be implemented and embedded in line with Group policies *Provided consultancy expertise to enable processes and procedures to be implemented and embedded in line with Group policies

Senior Manager, Operational Risk & Compliance

• Jun 2008 - Mar 2016

*Deputising for the MLRO, accountable for oversight of all aspects of Financial Crime prevention, including writing the annual MLRO report, interpreting JMLSG guidance and managing SAR reporting. *Planned and arranged the team resources to fulfil the Compliance Monitoring plan and Quality Assurance testing. *Provided advice on Conflicts of Interest and wall crossings. *Responsibility for oversight of Operational Risk events, breaches and issues and ensuring that actions are followed through to completion. *Planned and implemented Regulatory visit preparation for Approved Persons. *Chaired Risk Committee meetings and represented function at Executive Committee meetings, Steering Committees and Working Groups.

Training and Competence Manager

• Dec 2005 - Jun 2008

* Ensuring that the business met its obligations under the Training and Competency regime for approved staff. * Ensuring that the business met its obligations under the Training and Competency regime for approved staff.

Investigations Analyst

• Aug 1995 - Dec 2005