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Network Power<100 people
Roles
🖋️50%
Copywriting
🌐50%
Translator
🖥️50%
Data Entry
Geos
🇲🇾50%
Malaysia
Work Background
The Veterinary Defence Society LimitedCompany Secretary, Chief Risk Officer, and Head of Compliance
Mar. 2023- Company Secretary
- Chief Risk Officer (SMF 4)
- Head of Compliance (SMF 16)
- Member of the Executive team
The Coaching AcademyProtege
Mar. 2022 - Mar. 2023The Coaching Academy is at the forefront of coach training worldwide. As the largest coach training school in the world, The Coaching Academy has developed a reputation for quality training and has been training coaches in coaching skills since 1999. It is currently chosen by more people who want to professionally train in the practical skills of coaching than any other. Specialties : Currently studying for diplomas in –
• Life Coaching
• Personal Performance Coaching • Corporate and Executive Coaching • Small Business Coaching
• NLP Practitioner
• Youth Impact Coaching
• CPD for Coaches Programme
The Marlborough GroupGovernance, Risk and Compliance Manager
Jun. 2019 - Mar. 2023Group Steering Committee Member / Compliance Manager / Executive Committee Secretary • Compliance/Risk - Managed 5 staff - Represented Compliance & Risk Director / Compliance Officer at senior management meetings and Board Committees (incl Executive Committee, and Audit, Risk & Compliance Committee) when required - Designed Compliance Strategy / Annual Plan - Provided Risk Team support and training - Risk Frameworks, risk registers & risk workshops - Produced Compliance & Risk / 1st Line business engagement programme
- Designed, developed, maintained the Compliance Risk Register & regular reporting
- Provided advice to 1st line business functions incl on risk registers - Developed, oversaw, delivered 2020 Compliance Monitoring Plan (completed reviews)
- Developed, implemented, embedded key topics, e.g., Conflicts of interest, SMCR framework
- Member and/or lead of several project teams, e.g., Consumer Duty, SMCR • Reporting
- Designed / produced MI for Board, ARCC & ExCo - Reviewed Compliance MI, made recommendations
• Key Regulatory Developments - Designed, communicated, embedded the Company’s Horizon Scanning Policy and Procedure - Reviewed / produced proposals for changes to regulatory development reporting; provided monthly to the Board, ARCC, and ExCo.
- Supported / guided / challenged 1st line on implementing / embedding regulatory change (e.g., SMCR)
- Produced / embedded the Regulatory Change Oversight Framework • Provided coaching, & Risk & Compliance training
- Provided Board training on various Compliance and financial crime topics - Supported / coached team members, including appraisals, regular performance reviews, 1-1s
- Produced compliance/risk training material & delivered to 220 employees, incl Board members. Example topics: Conflicts of Interest, The Three Lines Model, Compliance Assurance Monitoring Methodology, Policies / Procedures • Policies/procedures Produced and embedded key documents, including practical application.
ChesnaraOperations and Information Security Manager
Jan. 2018 - Jun. 2019Senior Operations and Information Security Manager • Information and Data Security:
i) developed / maintained the IS policy & accompanying standards, procedures and guidance
ii) developed & delivered a programme of planned compliance reviews and ensured any gaps addressed
iii) promoted security awareness by developing / implementing training programme
iv) investigated suspected and actual security incidents
v) produced reports for the IS Security Steering Group (ISSG), Information Asset Owners (IAOs)
vi) input to the wider development of the information governance strategy / business planning process
vii) monitored emerging security trends, risks, new guidance/standards & enhancing technologies • Outsourced Service Delivery:
i) ensured outsourced services were carried out in accordance with laws, regulations and industry best practice standards including TCF principles and conduct standards
ii) represented the company at regular functional relationship meetings, providing written reports to the Head of Operations and Customer Strategy on OSP performance • Change Control and Project Management:
i) key role in ensuring projects met the change control framework and changes were delivered on time, e.g., project lead on Operational Resilience • Human Resources and Facilities Management:
i) responsible for all HR and Facilities management
ii) implemented new HR policies, procedures and processes and regularly reviewed existing ones
iii) monthly delivery of policy awareness refresher training • Risk Management and Audit:
i) responsible for ensuring effective oversight and proactive management of risks
ii) involved in external and internal audits
iii) oversight of risk register
An Eden Valley Village HallChair and trustee for a charitable village hall committee
Aug. 2017 - Jun. 2024United Kingdom
Reassure (part of the Swiss Re Group) and formerly Guardian Financial ServicesSenior Compliance Consultant (specialist in Anti-Financial Crime/ABC/AML)
Dec. 2014 - Jan. 2018Key responsibilities
- Ongoing analysis of financial crime, bribery and corruption and money laundering risks together with development of appropriate controls and review - Conducting assurance reviews - Developing the line 2 Compliance function and provision of services to all business units - Monitoring and oversight of regulatory compliance risks - Providing regulatory advice and guidance to line 1 - Approving financial promotions and customer communications - Analysis, interpretation and communication of regulatory developments and change
- Regulatory change/risk and reporting - Monitoring of outsourced service providers - Managing Approved Person submissions and firm approvals - Oversight of the management of conduct risk matters - Oversight of resolution of regulatory breaches - Providing regulatory training - Oversight of compliance consultants
Independent Group (UK) LtdDepartment Manager
Jul. 2013 - Jan. 2014• Quality & Compliance
• Training and coaching
• Reviewed complaint handling process and made recommendations
• Managed recruitment on behalf of Independent Group
• Led Institute of Customer Service Initiative and the Customer Service “Make A Difference” Campaign
• Reporting to / working with Director team, managed team dealing with inbound/outbound insurer, client, customer calls
• Business and brand development • Client Relationship / Account Management Reason for leaving: to return to financial services and compliance
Baines & ErnstQuality and Compliance Manager (Debt Solutions and General Insurance)
Oct. 2012 - Jul. 2013Manchester, united kingdom• Reporting directly to Commercial and Operations Directors, developed compliance procedures to ensure firm’s regime aligned with regulatory requirements – DEMSA and FCA – for the sale of both general insurance (buildings and contents) and debt management products
• Developed / maintained / monitored Training & Competence Scheme, embedding positive compliance culture including TCF, Anti-Money Laundering and Handling Client Money
• Managed the processing of complaints, incl root cause analysis & risk events. Reduced complaints
• Delivered commercial compliance advice in line with changing regulatory environment
• Introduced new call quality monitoring system and new feedback system to managers and advisers • Increased call quality and compliance scores • Reviewed existing Regulatory Compliance Framework, conducted gap analysis, made commercial recommendations
• Proactively engaged with business areas to facilitate compliance & complaint training • Comprehensive Quality and Compliance reporting for internal and external stakeholders Reason for leaving: to be nearer home to help my parents
VMA GroupSpecialist Public Relations and Communications Recruitment Consultant
Mar. 2012 - Sep. 2012Specialist Public Relations and Communications Recruitment consultant within the leading PR, Corporate Communications and Investor Relations recruitment specialist. Expertise across a wealth of industries including Financial and Professional Services and specialising in Corporate, Internal, Marketing, Crisis Communications, Public Affairs and Employee Engagement. • Supplied bespoke permanent and interim solutions, for individuals and volume project assignments
• Corporate, Internal, External, Public Affairs, Public Relations, Crisis Communications
• Speciality sectors/professions: financial services, legal, accountancy, retail • Business Development – client visits, full brief taking, requirement analysis, solution recommendations
• Business Development - organisation / presentation of seminars, conferences & events – e.g. VMA Advisory Board, Charles Stanley Breakfast Event, Disability in Sport Event, Cheshire Councils Event, Rising Stars • Business Development – representation of VMA at external marketing events e.g. Manchester Chamber of Commerce, Manchester Law Society events • PSL Meetings
• VMA Enhance Champion (learning and development programme for both internal and external customers) Reason for leaving: to return to financial services and compliance
REEDRecruitment Consultant for Senior HR Professionals
Jul. 2011 - Mar. 2012Manchester• Supplied bespoke permanent and interim solutions for individuals, and volume project assignments
• Senior HR specialist recruitment consultant - HR Managers, Directors, Business Partners, Recruitment Managers and Trainers, Organisational Development, Learning & Development Managers & Recruitment/Training Managers
• Speciality sectors/professions : financial services
• Organisation and presentation of seminars
AEGONCompliance and Quality Manager (Sales Support)
Oct. 2007 - Jul. 2011Lytham• FCA Compliance Manager for all sales teams ensuring all teams fully understood FCA requirements through presentations to all from the Executive team through to team members
• Conducted Risk and Compliance Gap analysis, recommended changes and regularly reviewed
• Project lead for departmental Risk Strategy covering business, financial, operational perspectives
• Strategic customer facing role leading / motivating a 14 strong sales unit focussed on delivery of added value services
• Project lead on new business development – contributed to achievement of Sales channel targets – contacted an additional 1700 IFAs, contributing an extra 15% annual premium income through lead generation / appointment setting and product cross selling
• Built, developed and maximised successful relationships with key accounts
• Reviewed budgets, ensuring exceptions investigated, highlighted and appropriate action taken. In addition, provided assistance to Operations Manager in completing annual budgeting pack. • Coached and developed all direct reports in line with best practice Reason for leaving: redundancy
AEGONBanks Partnership Manager
Mar. 2007 - Oct. 2007• Set up, managed, expanded team of high calibre specialists dealing with valuable distribution deal with major high street bank. Further distribution deals dependant on the success of this and were secured whilst ensuring existing customers were retained
• Devised/delivered training for 55 key staff on FSA / DPA rules & regulations including complaint handling
• Interviewed & recruited internal/external candidates, resulting in placement of 14 skilled account managers
AEGONClaims Manager
Jan. 2006 - Mar. 2007• Led team of Claims specialists dealing with life and health claims • Developed junior management • Project led 2 year strategy plan appropriate to “closed-book” environment • Nominated to become member of the UK wide Behaviour Focus Groups Project determining/ communicating key behaviours required in line with Company vision of a change in culture • Project led Claims Procedures, Processes and Timings review; made cost savings of £32,000 per annum through procedural change and business integration
AEGONHigh Net Worth Client Relationship Manager
Jan. 2003 - Dec. 2005• Asked to lead team of specialists dealing with high profile, nationally well-known clients submitting high value policies and therefore integrity, effective communication and successful networking/ negotiating were vital (often in competition with other providers). Brought in to overhaul the team as previous service proposition had undermined confidence of key Independent Financial Advisers and Company’s own Sales force in the team’s ability to deliver. Resulted in joint proactive activity with the Sales team and increased annual premium income
• Invited to attend the Money Marketing Awards in London as recognition of success
• Quality Control and Training Coordinator for 120 staff including the development of mentors
• Member of the Company’s Business Change Agenda / Project Management Forum
• Asked to assist the Company’s training department to deliver complaint handling training courses to staff
GUARDIAN FINANCIAL SERVICESPensions Deputy Section Manager
Jan. 1995 - Dec. 2002• Led Sarbanes Oxley review of Pensions, made recommendations and implemented with regular review
• Led Annuity Pension team to ensure service standards met and quality service delivered • Planned / coordinated / delivered training for established and new staff • Ensured team action training plan kept current by regular review ensuring their consistency with overall departmental plan and Company vision • Liaised with external companies e.g. Inland Revenue and various internal departments • Project led tax year end processes review / eliminated the need for 450 hours overtime each April • Project Team Member securing Investors in People accreditation • Institute of Customer Service (ICS) Coach and Practitioner: coached 3 people to achieve ICS recognition and qualification • Project led “Make a Difference Campaign” – an idea generating scheme encompassing 700 people
GUARDIAN FINANCIAL SERVICESLife Teamleader
Jan. 1987 - Dec. 1994
GUARDIAN FINANCIAL SERVICESInsurance Technician
Jan. 1985 - Dec. 1987
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