Amy Mclaughlin Email & Phone Number

Harrogate, United Kingdom

Supporting and managing our Appointed Representative (AR) firms from onboarding to monitoring. Working with our team and the AR firms to ensure operation in a compliant manner consistent with regulatory requirements, professional standards and internal policies. Conducting onboarding, including due diligence, building and embedding compliance monitoring.

Harrogate, United Kingdom

Responsible for assisting clients with FCA applications, regulatory business plans, standing data updates, compliance monitoring programmes, policies and procedures. Liaising with clients and building relationships with a strong customer service ethic. Assisting with the onboarding of firm Appointed Representatives.My track record includes;~ Ensuring.

North Yorkshire

• I ensure the business operates in a compliant manner consistent with outside regulatory requirements, professional standards and internal policies, key duties;
• Work with senior management to ensure activities of the business are carried out within the regulatory framework and internal policies
• Help the business mitigate fraud
• Liaise with lender partners & external bodies such as FCA, CCTA, NACFB, FOS, ICA
• Ensure any change development meets internal and regulatory requirements
• Gather internal information in response to regulatory requests and FCA Returns i.e. GABRIEL

North Yorkshire

Leading and allocating workload the team for production of all finance documentation and liaise with customers to execute documents and arrange payment for customer assets. Dealing with a wide range of high net worth customers and businesses. Communicating with a large panel of lenders, keeping a good working relationship with all lender partners. Training.

Providing exceptional customer service to both internal and external parties. Supporting Account Managers to aid in meeting their targets. Monitor and handle customer communication by email and telephone. Producing all finance documentation and liaising with customers and lenders to execute documents and arrange payment for customer assets. Dealing with a.

I had a few different roles here over my 3 years;1. Online Banking Helpdesk2. Payment helpdesk (CHAPs and International Payments)3. Branch based role

Ica Certificate In Kyc And Cdd, Know Your Customer And Customer Due Diligence, Pass

This course completed with the International Compliance Association provided a foundation knowledge of core know your customer (KYC) and.

Ica Certificate In Anti Money Laundering, Anti Money Laundering, Pass

This course taken with the International Compliance Association provided an excellent introduction to anti money laundering. The course.

Ica Certificate In Compliance, Compliance, Pass

Good compliance equals good business and good compliance is the responsibility of all staff. This course provided a good introduction to.

4 A-Levels, Pyschology, English Literature, Geography, General Studies

Activities and Societies: Prefect, Chamber Choir, Senior Band, Buddy to Juniors, Air Cadets