Compliance Manager
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Motivational leader with 10 Years success in Banking and Financial Service environments. Seeks out change opportunities, capitalising on technologies, improved methods and gaps to surpass targets. History maintaining efficiency and high employee satisfaction with responsive management style.
Results-driven, ambitious and competitive focused on transformative leadership and continuous improvement to drive growth and maximise profits. Accomplished in delivering above-expected results while streamlining operations. Ambitious to affect change and bring results in new environment.
Banking professional with proven experience in wealth, business and retail operations management. Supports teams in strategising, implementing and delivering improved customer and business outcomes. Committed manager with exceptional leadership, organisational skills and communication abilities leads high-performing cross functional teams. Leads projects, company operations and business growth.
Consumer Duty/FCA Quality Assurance Monitoring
CDD, EDD, KYC, TCF, AML, Sanctions, Fraud Risk and CFT
Enterprise-Wide Risk Analysis and Reporting
Business-Wide/Enterprise-wide Root Cause Analysis
Regulatory Risk and Risk strategy
Compliance Regulations and Policy Documentation
Compliance and Financial Crime Framework
Identify key regulatory and compliance prioritises, mapping and monitoring these against obligations and industry best practices
Developed and assisted risk strategy implementation and delivery across all enterprise levels
Develop compliance processes, and ensure implementation and appropriate controls that reflect business and regulatory requirements
Facilitate risk-based compliance programmes designed around relevant consumer protection, consumer credit, and financial crimes compliance regulations
Cultivate and managed strategic partnerships with
FinTech's, payment processors, and other relevant stakeholders to enhance company's banking offerings and capabilities.
Expert level of professional skills and knowledge of UK financial services regulatory environment
Work with all relevant third-party partners, including banks and other financial institutions, card networks, merchants,
and regulatory authorities
Liaising with key internal (e.g. Legal, Risk, MLRO, etc.)
and external (e.g. Regulators, advisors, vendors, partners,
etc.) stakeholders as required
Conducted technical risk analysis, collaborating with technical leadership in accepting identified risks
Liaising with internal audit and assisting MLRO to deliver efficient preparation and resolution of any audit requirements
Supported compliance with GDPR, UK Data Protection Act
2018 and other relevant data protection laws
Strong stakeholder engagement skills to hold 1st Line of
Defence accountable for Regulatory Compliance matters
Maintained full knowledge of current regulatory environment and made proactive adjustments to meet changing requirements. Including FCA guidelines
Prepare reports to senior management and Board of
Directors to communicate all relevant compliance issues and escalate any important or high risk compliance issues
Conducted risk assessments and implemented mitigation strategies
Supporting delivery of effective risk culture across 1LoD and 2LoD lines of defence
Experienced in developing and implementing risk-based oversight frameworks
Working knowledge of FCA regulations and standards such as Consumer Duty and TCF
Financial Promotions, review marketing, advertising and press material to ensure compliance with regulatory requirements
Supported with EMI License application. Creation of all policies and procedures, including program of operations,
operational resilience, governance and internal controls,
financial crime risk policies, internal audit, Enterprise-wide risk assessment, performance on fraud data and CDD,
AML, CFT Policy
Developed focus on working with Product teams on prioritisation of roadmap and future features to bring to market.
Experience with developing and implementing Root Cause
Analysis methodologies.
Good understanding of ICO requirements, associated Data
Protection legislation and its application
Expert level of professional skills and knowledge of UK financial services regulatory environment.
