A solutions-focused compliance manager, utilising over six years of experience with the ability to read and interpret complex regulations and make accurate operational decisions. Highly adept in identifying gaps and risk exposure in operations as well as developing and implementing strong systems and controls. Recognised for being both reactive to the FCA regulatory environment and pro-active in areas related to compliance education and training.
Head of Compliance
2010 – Present
Regulated by the FCA, the firm partners with experienced managers to offer tax-efficient investment opportunities to their network of Ultra High Net Worth individuals (UHNWs), family offices, private banks, wealth managers and IFAs.
• Overseeing the delivery of the firm’s annual audit through the assessment of documented procedures. This includes; complaints handling, sales practice, financial promotion, anti-money laundering, whistleblowing, training and competence, data protection, treating customers fairly and the review of the compliance monitoring programme and management information reporting.
• Develop, initiate, maintain and revise policies and procedures to help prevent unethical or improper conduct.
• The development, execution and oversight of the compliance monitoring programme.
• Conducting monthly MI reports to keep the committee informed of key issues effecting the compliance department. Designed and created all compliance reports.
• Keeping abreast of new regulatory developments and implementing and advising the business accordingly. Actively participated in conferences and other educational opportunities.
• Developed training materials to be used for regulatory continued professional development (CPD)
• HR duties that include the screening of CV’s, conducting telephone and face-to-face interviews with successful applicants then the subsequent training of new staff.
• Orchestrating and coordinating bi-annual networking events; this would involve locating suitable venues, agenda preparation and the creation of marketing material, organising catering and beverages and overall ensuring the smooth running of these events.
Administration Assistant 2008 – 2009
Compliance Consultant 2009- 2010
Pretium Securities provide a tailored service advising retail and professional clients wishing to trade in a wide range of investment vehicles and products including CFDs, FX, Shares, Spread betting, Commodities, and Structured products.
• Assisted in implementing and monitoring effective work procedures, in accordance with the needs of the business, and within the rules and regulations of the Financial Conduct Authority, Consumer Credit Act, Data Protection Act, Anti-Money Laundering rules Financial Ombudsman Service and other regulatory bodies.
• Assisted in providing and preparing structured reports and management information on a regular basis to the Board of Directors.
• Call monitoring– ensured brokers followed the script procedure to cover advisory trade recommendations.
• Client file reviews- ensured that the findings were accurately recorded and handled appropriately to mitigate any associated risk.
• Processing client accounts
• Collating Bi-Annual and Annual client documentation
• Conducting standard background checks to comply with FCA regulations
• Creating files for new brokers/employees- ensuring all relevant documentation is sought
• Assisting with staff training
EDUCATION & QUALIFICATIONS
Bishop Challoner Catholic Collegiate Sixth Form 2004 – 2006
AVCE Information and Communication Technology
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