Alan Clark Email & Phone Number

Norwich, United Kingdom

Reporting to the Head of Compliance, I have responsibility for oversight of Intermediaries, Partnerships and Strategic Partnerships. I provide compliance advice to the wider business on all elements of the Personal Line business which Aviva underwrites, including but not limited to Mobile Device Insurance, Home Emergency, Home, Motor and Personal Accident. I also have a working knowledge of Commercial Lines businessI have been heavily involved with the implementation of a set of conduct controls to oversee and challenge how products operate ensuring that they provide value for money to our customer base. This continues to be adapted in line with FCA's expectations and requirements. This has also involved looking at the impacts of covid-19 and any potential impacts to customer utility. I am a regulatory subject matter expert and will provide advice on all elements of the FCA rulebook, providing practical and customer driven solutions. My role includesProviding support, advice and ongoing guidance on new and existing deals to ensure adequate consideration has been given to the regulatory rules and conduct agenda.Oversight of existing deals to ensure that compliance is maintained. Interpretation and implementation of consultation papers and thematic reviews, and working with the wider business to complete gap analysis and advice to ensure successful implementation. Where appropriate interaction with the FCA. Ongoing relationships with a number of partners to discuss regulatory and conduct issues.Ongoing review and oversight of regulatory risk within the company including close liaison with the wider risk function. Ongoing review and support to the complaints handling team providing advice on all elements of the DISP rulebook. Conduct risk and TCF embedding and ongoing oversightWhere appropriate reporting to board and conduct committees on areas of interest. Oversight of Risk events to ensure adequate action plans and implementation.

Norwich, United Kingdom

See above

Sheffield, United Kingdom

Part of a specialist team responsible for identifying and delivering guidance, insight and direction on, and raising awareness of, risk and regulatory change, providing training and support on risk and regulatory issues to senior management and others within the UK life business. This included involvement in a number of client rectification exercises, involvement in a project to outsource the administration of complaints to a third party and continued relationship management with the Financial Ombudsman Service

Sheffield, United Kingdom

Developing best practice and oversight procedures for the investigation of mis-sold mortgage endowment policies. This included development of time barring procedures and implementation of appropriate mailings to allow this to be completed. This included the development of systems, the oversight of third party handlers, dealing with policyholders, attendance of ABI working parties and more wider industry forums to develop best practice. I managed a team of technical experts to develop this to ensure that we satisfactorily redressed all customers within agreed timescales. I developed and managed the relationship with the Financial Ombudsman Service, including the introduction of the spreadsheet approach.

Sheffield, United Kingdom

Various roles within Norwich Union and then Commercial Union, General Accident and Provident Mutual looking at customers who had been advised to opt-out or transfer from Defined Benefit Schemes. This was a demanding role creating procedures and documentation to ensure that all investigations were in line with regulatory guidance.This included the development of systems, the oversight of third party handlers, communication with large pension schemes to develop better ways of working and bulk transfers, attendance of ABI working parties and more wider industry forums to develop best practice. During this period I worked as both a technician and also managed a team to ensure that we satisfactorily redressed all customers within agreed timescales. Upon the merge with CGU - I was a member of the working party looking at processes and ensuring that these were aligned, this involved significant travel to Croydon and Stevenage.

Sheffield, United Kingdom

Providing technical advice to a department providing administration services for executive pension schemes

Sheffield, United Kingdom

Managing a team of 12 individuals who were responsible for the end to end administration of circa 200 Defined Benefit Pension Schemes and 400 Group Life Insurance Schemes.

Sheffield, United Kingdom

A Pension technician providing detailed advice on all elements of defined benefit pension schemes, working closely on product developments

Norwich, United Kingdom

Administering all elements of Defined Benefit Pension and Group Life Insurance Schemes, including annuity quotes, benefit statements, leaving service quotes and renewal documentation