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UI-CA-20584
Specialist Read more about levels here
Change Analyst Pound Rate: £685
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Business Analyst
Pound625
Industries
Financial Services Financial Services
Projects
Business and Process Optimisation Business and Process Optimisation Financial Crime and Compliance Financial Crime and Compliance Regulatory Change Regulatory Change
About me

I am an experienced manager in the fields of Insurance and Finance, and Information and Communication Technology. I have 23 years of work experience, including 12 years of management experience, having held a high-level position. I have over 15 years Risk & Compliance experience, mostly, in Compliance Advisory, covering Retail Banking & Payments, Private Banking, Investment & Wealth Management and Payments. Four years in Investment Management including professional clients with discretionary mandates, and UCITS fund portfolio management businesses. I spent 5 years working in Compliance Consultancy (Deloitte, Accenture, Capita, Financial Ombudsman Service), advising and leading on client projects in areas of regulatory authorisation & licensing, regulatory post implementation reviews, remediation & skilled person reviews, compliance policies & risk framework, regulatory development implementation

Superpowers
Stakeholder Engagement Team Management Financial Analysis
Skills
Regulatory ComplianceStakeholder EngagementTeam Management
Experience
Jun, 2020
Current
senior regulatory advisory officer/analyst wealth management
Financial ServicesFinancial Services
Wealth Management
I am a Senior Regulatory Advisory Officer/Analyst with 4 years of experience in Wealth Management. My responsibilities include conducting Regulatory Risk Assessment, managing Regulatory Relations, providing Regulatory Advice, administering SMCR & CR, creating Compliance Policies, reviewing Compliance Risk Framework, managing Regulatory Submissions, and carrying out Compliance Monitoring.
Key responsibilities Key responsibilities
  • Conduct Regulatory Risk Assessment
  • Manage Regulatory Relations
  • Provide Regulatory Advice
  • Administer SMCR & CR
Key achievements Key achievements
  • Create Compliance Policies
  • Review Compliance Risk Framework
  • Manage Regulatory Submissions
  • Carry out Compliance Monitoring
Oct, 2018
Jun, 2020
compliance advisory manager compliance
Financial ServicesFinancial Services
Financial services
As a Compliance Advisory Manager, I have two years of experience in providing regulatory compliance advice, interpreting regulatory requirements, reviewing and approving financial promotions, and advising on regulatory change. I have provided SME guidance, reviewed/approved promotions, remained up-to-date with regulatory developments, and challenged Senior Management. I also acted as the Compliance Advisory Lead of the Payment Services Directive II (PSD2) Project within Tesco Bank, providing technical compliance advice and regulatory analysis on various PSD2 themes.
Key responsibilities Key responsibilities
  • Providing regulatory compliance advice
  • Interpreting regulatory requirements
  • Reviewing and approving financial promotions
  • Advising on regulatory change
Key achievements Key achievements
  • Provided SME guidance
  • Reviewed/approved promotions
  • Remained up-to-date with regulatory developments
  • Challenged Senior Management
Apr, 2017
Sep, 2018
compliance manager retail investment/wealth
Financial ServicesFinancial Services
Retail Investment/Wealth
As a Compliance Manager for Retail Investment/Wealth with 2 years of experience, I provided technical compliance advice, regulatory analysis and input to the delivery of various national and regional regulatory development/change projects. I developed and led a team of up to 5 staff and managed their contribution to the overall Risk & Compliance team objectives. I acted as secretary of the Regulatory Development Forum, by arranging forum meetings, producing forum packs and accurate and relevant management information and forum minutes. I also developed and updated compliance policies/procedures including the regulatory compliance/financial crime risk assessment and monitoring process, model risk management, risk & control reporting, and MI. I ensured that all regulatory changes were implemented ahead of the regulatory deadline and kept the Head of Compliance updated with progress.
Key responsibilities Key responsibilities
  • Provided technical compliance advice
  • Regulatory analysis and input to delivery of projects
  • Led team of up to 5 staff
  • Arranged forum meetings and produced forum packs
Key achievements Key achievements
  • Developed and updated compliance policies/procedures
  • Implemented regulatory changes ahead of deadlines
  • Kept Head of Compliance updated with progress
  • Produced accurate and relevant management information and forum minutes
May, 2012
Mar, 2017
compliance consultant
Financial ServicesFinancial Services
Compliance Consultancy
As a Compliance Consultant with 5 years of experience, I have been responsible for reviewing and advising clients on compliance policies and risk frameworks, assessing regulatory impacts, delivering regulatory remediation activities, and assisting clients in regulatory authorisation and licencing with various UK regulators. I have achieved successful project implementations, conducted in-depth desktop and client contact suitability compliance reviews, ensured compliance with legal, regulatory, and ethical requirements, and provided training on compliance issues.
Key responsibilities Key responsibilities
  • Reviewing and advising clients on compliance policies and risk frameworks
  • Assessing regulatory impacts
  • Delivering regulatory remediation activities
  • Assisting clients in regulatory authorisation and licensing
Key achievements Key achievements
  • Successful project implementations
  • In-depth desktop and client contact suitability compliance reviews
  • Ensured compliance with legal, regulatory, and ethical requirements
  • Provided training on compliance issues
Nov, 2009
May, 2012
compliance associate private banking/wealth management
Financial ServicesFinancial Services
Wealth Management
I am a Compliance Associate with 3 years of experience in private banking/wealth management. My responsibilities include conducting regulatory compliance testing, AML monitoring reviews, Investment Manager Reviews, and post trade surveillance. I have achieved advising and assisting business, identifying and investigating suspicious trades, minimising the risk of receiving inside information, and using pre-trade controls to reduce the risk.
Key responsibilities Key responsibilities
  • Conducting regulatory compliance testing
  • AML monitoring reviews
  • Investment Manager Reviews
  • Post trade surveillance
Key achievements Key achievements
  • Advising and assisting business
  • Identifying and investigating suspicious trades
  • Minimising the risk of receiving inside information
  • Using pre-trade controls to reduce risk
Sep, 2000
Oct, 2009
banking executive - risk and compliance
Financial ServicesFinancial Services
Financial Services
I have 9 years+ of experience in the Financial Services industry as a Compliance Liaison. My main responsibilities include having an excellent understanding of the FCA/PRA handbook, providing advice and assistance to the business, conducting Investment Manager Reviews and Themed Reviews, and conducting AML monitoring reviews. I have also achieved success in conducting post trade surveillance, controlling access to inside information, and implementing pre-trade controls.
Key responsibilities Key responsibilities
  • Understanding FCA/PRA handbook
  • Advising business
  • Conducting Reviews
  • AML monitoring
Key achievements Key achievements
  • Post trade surveillance
  • Controlling inside info access
  • Implementing pre-trade controls
  • Successful reviews
Oct, 2003
Oct, 2009
banking executive
Financial ServicesFinancial Services
Financial Services
I am a Banking executive with 6 years of experience. My primary responsibilities include providing advice and assistance to the business, conducting investment reviews, AML monitoring and testing, and post trade surveillance. I have achieved excellent results in ensuring compliance with regulations, identifying and investigating suspicious trades, controlling access to inside information, and minimising the risk of receiving inside information.
Key responsibilities Key responsibilities
  • Providing advice and assistance to business
  • Conducting investment reviews
  • AML monitoring and testing
  • Post trade surveillance
Key achievements Key achievements
  • Ensuring compliance with regulations
  • Identifying and investigating suspicious trades
  • Controlling access to inside information
  • Minimising risk of receiving inside information
Sep, 2000
Sep, 2003
executive trainee
Financial ServicesFinancial Services
Financial services
As an Executive Trainee with 3 years of experience, I have an excellent and comprehensive understanding of FCA/PRA handbook on financial services regulation and requirements applicable to investment management. My responsibilities include advising on FCA/PRA regulations, conducting reviews, AML monitoring and post trade surveillance. My achievements include identifying and investigating suspicious trades, reducing the risk of market manipulation, controlling access to inside information and minimising the risk of receiving inside information.
Key responsibilities Key responsibilities
  • Advising on FCA/PRA regulations
  • Conducting reviews
  • AML monitoring
  • Post trade surveillance
Key achievements Key achievements
  • Identifying suspicious trades
  • Reducing market manipulation risk
  • Controlling access to inside info
  • Minimising inside info risk