Experience

One Four Nine Group

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Senior Compliance Associate

  • Dec 2022 - Present



Baggette & Company Wealth Management

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Compliance Officer

  • Sep 2021 - Oct 2022



Baggette Asset Management Limited has been acquired by Titan Asset Management Ltd

• United Kingdom
• Investment Management

• Compliance Officer

  • Jul 2020 - Apr 2022



Baggette & Company Wealth Management

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Client Servicing Administrator

  • Jul 2019 - Jun 2020



Compass Wealth Management Consultants Ltd

• United Kingdom
• Financial Services
• 1 - 100 Employee

• IFA Administrator

  • Jan 2019 - Apr 2019

  - Update client portfolios and generate valuations for client meetings ensuring all relevant information is - captured in line with the companies procedures. - Taking ownership of Letter of Authority process. Processing and sending Letters of Authority to Providers. - Created an LOA tracker to ensure Letters of Authority are chased to completion in a timely manner. - Ensuring that both Financial Adviser and Client is kept up to date on progress of LOA’s. - Constructing and implementing formal processes and procedures. - Ownership of post, ensuring all incoming post is actioned promptly. Ensuring client forms are processed and in-house system is updated. - Flagging any issues with incoming documentation such as missing data, signatures etc. - Dealing with ad hoc requests from Financial Advisers. - Ensuring all client documentation is scanned and filed in line with data protection. - Collating agenda items for team meetings. - General administrative duties such as answering incoming telephone calls, filing, scanning. Show less



NHS

• Hospitals and Health Care
• 700 & Above Employee

• MDT coordinator

  • Feb 2017 - Dec 2018

  - Weekly MDT reporting of current patients, discharges and deaths under Palliative Care. Reporting prior to meeting, leading the meeting and ensuring information is then forwarded to the relevant GP surgeries. - Taking referrals from medical staff, ensuring all information is recorded to pass on to Macmillan nurses within the team. Highlighting referrals within a timely manner and recording on the relevant systems. - Dictating letters for lead Palliative Care consultant and Medical director. - Liaising with Nursing homes and hospices in which we have commissioned beds. Monitoring bed movements and highlighting bed availability. Conducting weekly reports to reflect this information and ensuring this is up to date at month end to allow for financial monitoring. - Supporting our Home care service including off duty, scheduling patient visits and communicating with patients and family members to ensure we are providing quality care to meet the patients needs. - Preparing agendas and room bookings for several meetings and compiling meeting minutes. - Basic administrative duties such as answering telephones, monitoring several inboxes and ensuring systems are up to date. - PA duties for Palliative Care Clinical matron and medical director. Show less



JPMorgan Chase & Co.

• United States
• Financial Services
• 700 & Above Employee

• Client Due Diligence Specialist - Targeted Remediation Team

  • May 2014 - Oct 2015

  - Moving on from the Onboarding role, I was selected to help build up a new remediation team to ensure that the firm adapts processes to meet regulatory requirements and ensure previous on boarded clients are uplifted to meet those standards.- Designated member of the team involved in testing and implementing a whole new system and new global standards. I was then responsible for training a team of 30 members on the aforementioned system and standards. - As a senior member of the team I was a constant point of contact for all questions, queries and training , for not only other team members but also play an assisting role to my manager. - Playing an active role during initial project planning, ensuring smooth implementation. Efficiently dealing with any issues or escalating where necessary. Responsible for providing constant project updates efficiently to management and ensuring that project milestones are completed before set deadlines.- This role has allowed me to widen my communication skills, mainly through being responsible for all training which requires me to adapt my methods where needed, be it depending on the experience and seniority of my audience.- I have also had a different experience with the Front office as I now have to educate them on new standards and regulatory requirements. This can be challenging at times, but is a new experience that I thoroughly enjoy. Show less

• Client Due Diligence Specialist

  • Nov 2013 - May 2014

  - As a key control function, I have rapidly built knowledge of both JPM policy and the varying local country regulations to ensure clients are fully compliant.- Disposition screening results against sanction and PEP lists and reviewing negative media results- Taken ownership of monitoring the team’s Key Performance and Risk Identifiers to ensure smooth and seamless on boarding- As reliable member of the team, I act as a primary contact within WCOB for Front Office client queries as well as effectively communicating the progress to key stakeholders, including sales and compliance.- I have established a new partnership with the Quality Assurance team to review of procedures and data requirements- My organisational skills has seen me placed to oversee the daily pipeline meetings with the Front Office and Transition team Show less

• Bullion Clearing Specialist - IB Commodities Middle Office

  • Apr 2012 - Nov 2013

  - As JPMorgan holds the largest bullion market presence, the role was a high pressured and fast paced involving the servicing of client’s commodities trade instructions- I proved highly organised in monitoring, matching and amending client instructions- Sanction screening instructions against OFAC and local lists to ensure they were not in breach- I built strong relationships with both internal and external clients- I established an issue reporting log and worked with peer teams to improve the overall process and client delivery- I established daily MIS reporting that I presented to senior management Show less

• Compliance KYC Approver

  • Feb 2012 - Apr 2012

  - Focusing on the Treasury and Investment Banking business, reviewed escalated KYC alerts to ensure they were compliant with JPM, US & European regulations- Ensured sanction and PEP alerts were appropriately reviewed- Reviewed negative media ensuring JPM was not exposed to any reputational risk- Played a pivotal role to a major remediation project ensuring 1000+ KYC were updated and compliant.

• Personal Account Dealing - Compliance

  • Aug 2011 - Feb 2012

  - Investigating all JPM staff trade requests against restricted lists to ensure no conflict of interest- Diligently analysing trade confirmations ensuring they were compliant to JPM Policies- Reviewed discretionary account statements and ensured tight privacy controls