Allison Case Email & Phone Number

London, England, United Kingdom

Willen Lake, England, United Kingdom

Newport Pagnell, England, United Kingdom

London, United Kingdom

Responsible for the Supervision of 18 Investment Managers, undertaking 121s, field observations and training, to ensure compliance with the T & C Scheme. Responsible for the training for pre CAS advisors, providing support and coaching to progress them on their journey to CAS.

Home Counties

Undertaking assessment, analysis and monitoring of field skills and knowledge with Prudential Advisors. Ensuring compliance with T&C requirements, recommending areas for improvement and development. Ensuring all activities remain compliant with policy, legislation and risk appetite. Designing and delivering bespoke training sessions for new and experienced Partners. Was made redundant along with 50% of team with 1 months notice.

Birmingham, United Kingdom

Responsible for the Supervision of 14 Investment Managers, undertaking KPI reviews, field observations and training, to ensure compliance with the T & C Scheme. Managed a team of 3 Quality Assurance checkers. Designed and delivered quarterly and bespoke training courses to Investment Managers and the wider team.

London

Undertook sample compliance monitoring reviews for high net worth clients from Relationship Managers. Identified regulatory and conduct risks and recorded the results for the Compliance Manager. Gave recommendations to improve quality and undertook root cause analysis. For phase 2 of the project, was integral in drafting new policy and procedures and reviewing the current procedures and training material to ensure that all future reviews were completed in line with FCA standards.

London, United Kingdom

Performing compliance monitoring reviews for Individual, Charity, Corporate and Pension reports from Investment Managers. Identifying regulatory and conduct risks and recording the results for compliance and training purposes. Working directly with the Investment managers giving constructive feedback to agree remedial action required and providing coaching on relevant areas.

Milton Keynes, United Kingdom

Taking ownership of Customer endowment complaints, including contacting Customers via telephone and producing Customer testimony reports. Investigating and analysing point of sale evidence and provider product information to produce a final outcome report. Making redress calculations that may be appropriate and ensuring relevant compensation is paid directly to the Customer.

Leicester, United Kingdom

Senior file reviewer for Skilled Person Team, who acting on behalf of the FCA, conducted a S166 review of the original sales process for Interest Rate Hedging Products for a major high street Bank and identified any potential redress actions.

Aylesbury

Holistic review of complex pension transfer advice for best practice and compliance as part of a project team. Managed complaints and chaired meetings giving SME advice to other departments.

Leeds / Southampton / Haywards Heath

Running test scripts on the Welcome point of sale system and raising defects/solution alignments.Setting up/closing down a Warranty team, (based in Southampton with a team of 6 and Haywards Heath with a team of 7) to provide support for Wealth Advisers on a Pilot scheme to test the point of advice system.

Aylesbury

Holistic review of complex pension transfer advice for best practice and compliance as part of a project team. Providing training support, process implementation and ongoing mentoring for team reviewing complex cases.

South East - Uk

Private Client Manager within Corporate/Wealth Management Division of Halifax Bank of Scotland. Providing Protection, Investment, Retirement & Inheritance Tax solutions to: - High Net Worth and Mass affluent (Halifax Top 1%).- Corporate clients referred from Bank of Scotland Relationship Managers.- Equitable Life Clients.- Professional individuals such as Solicitors, Accountants and Bankers.• Advising businesses on tax efficient investing and Group Stakeholder introductions.

Milton Keynes, United Kingdom

Responsible for developing and running training sessions for new entrants and refresher sessions for Client Managers. Assessor for the 1st and 2nd interview process and provided one to one coaching.

South East - Uk

Securing and launching Group Stakeholder Pension schemes, liaising with Key contacts to encourage membership and to negotiate company contributions.