Amy Mclaughlin Email & Phone Number

Harrogate, Gb

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, ongoing monitoring and annual reviews. Collaborating with our team to build and update processes both internally and for our AR firms. Completing relevant FCA applications for Appointed Representatives using FCA Connect and gathering appropriate data internally to aid in completion of FCA Reg Data.

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 businesses operate in a compliant manner consistent with regulatory requirements, professional standards and internal policies~ Reviewing, improving and updating policy and procedure documents including Regulatory Business Plans~ Assisting with development and implementation of induction and on-going training programs~ Strong customer service ethic~ Building client relationships

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• Review and update the company Regulatory Business Plan & Compliance Manual annuallyManagement Information:• Produce Risk & Compliance MI on a monthly basis• Run through MI with the Sales Manager/s as requiredTraining:• Assist with the development and implementation of induction & ongoing training programmes for all employees• Create company annual training plans, working with relevant departments & subject specialists• Record & evidence the results of employee training, highlighting trends in non-compliance & suggest ongoing training needs Policies & Procedures:• Create, improve & implement compliance and risk policies and procedures• Review new & updated processes to ensure effective compliance controls & ‘fit for purpose’Risk Monitoring:• Identify & investigate irregularities and non-compliance issues• Review & approve all marketing materials, presentations & websites to ensure compliance with regulatory requirements• Conduct Sales Team Call Monitoring on regular basis & carry out further sampling on a risk-based basis, record results of call monitoring & highlight any areas of concernExternal Relationships:• Review applications for all new introducers & raise agreements for those approved• Regularly review existing introducers to ensure that they have the appropriate regulatory permissions, including FCA and ICO • Prepare for lender & external compliance audits / reviews

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 all new team members, keeping the team up to date with lender changes.

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 wide range of high net worth customers, businesses, motor dealers and lenders.

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).

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.

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

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