Senior Compliance Business Partner

• Oct 2022 - Present

- Conducting horizon scanning activities and recommending relevant changes in response to regulatory change - Providing subject matter expert advice on regulatory matters - Providing guidance and support to 1st line teams regarding their regulatory controls - Reviewing policies and procedures owned by the Risk and Compliance function - Assisting with planning and delivery of training activities - Deputising for the Group Head of Compliance as required - Conducting horizon scanning activities and recommending relevant changes in response to regulatory change - Providing subject matter expert advice on regulatory matters - Providing guidance and support to 1st line teams regarding their regulatory controls - Reviewing policies and procedures owned by the Risk and Compliance function - Assisting with planning and delivery of training activities - Deputising for the Group Head of Compliance as required

Risk and Compliance Manager

• Feb 2019 - Sep 2022

- Conducting horizon scanning and regulatory change reporting to senior management, identifying necessary actions and conducting gap analysis- Deputy MLRO, completing annual MLRO report and risk assessment, conducting enhanced due diligence for new customer relationships, investigating suspicious activity reports - Due diligence checks for new intermediary relationships- Member of the Data Protection Committee, completing annual report on relevant activity to senior management- Complaint investigation and resolution, liaising with the FOS- Providing guidance and advice on regulatory matters- Providing compliance advice as part of the project management process- Member of the Literature Review Team- Delivering oversight and assurance over high risk activities and areas of regulator focus Show less

Risk and Compliance Officer

• Nov 2016 - Feb 2019

Compliance Monitoring Officer (Financial Advice Network Ltd)

• Mar 2014 - Nov 2016

(Financial Advice Network Ltd was a subsidiary of The Shepherds Friendly Society Ltd) - Completed file reviews for Network AR sales and provided feedback/identified further actions to ensure compliance with internal and regulatory requirements- Complaints handling- Processing of commission payments ensuring allocation to correct advisers before payments made- Member of the Literature Review Team- Provision of internal training on AML and Financial Crime risk

Operations Team Leader

• Nov 2011 - Jul 2014

- Focused on providing high levels of customer service to new and existing customers- Point of escalation for team queries, providing support and motivation to allow the team to reach the right conclusions- Ensured accurate and timely payment of all outgoing payments, including plan maturities and surrenders- Sensitive and considerate handling of claims made due to the death of members- Accurate allocation of incoming payments to member plans- Oversight of surrender value calculations, ensuring calculations were correct before payments were processed Show less

Operations Team Member

• Nov 2008 - Nov 2011

Staff Trainer

• 2002 - 2009