Andy Rothwell Cemap Dipfa Email & Phone Number

Birmingham, England, United Kingdom

Reading, England, United Kingdom

Revision Analyst - manually producing Group AVC and Local Government Group AVC Schemes Accounts for issue to Administrators and Auditors to meet Regulatory deadlines.This was a short term contract to review of data from 2 systems to stitch them together to ensure that the correct information was issued to the Administrators (in Excel format) as a deadline was approaching

Manchester, England, United Kingdom

Contracting as Root Cause Analyst / Data Analyst for NatWest March 2020 – June 2021• Supported closure of Phase 1 and Phase 2 of Project including co-ordinating Data Gather from Product Providers and seeking agreement for bespoke remediation solutions to meet Project deadlines • Investigation and identification of trends/issues from the review of MI on customers files from 2010 - 12• Weekly reporting of Operational progress including remaining cases, outcomes, quality and productivity• Provided detailed commentary for results/quality/issues on Operational progress reports for FCA• Recommend solutions on risks/concerns to RBS Senior Management to help them understand advice issues and to enable accurate dialogue with FCA• Interrogation of MI Reports to manage workflow, initial mailings, chasers and reviews within Operations to ensure we treat every customer fairly and meet Standard Operating Procedures• Oversight and daily management of Operational risks, including creating solutions and implementation of process changes to assist with the closure of Project to agreed FCA deadlines

Coventry, United Kingdom

22/08/16 to March 2020- working at Royal Bank of Scotland/NatWest Group through Limited Company• Investigation and identification of trends/issues from the review of MI on customers files from 2010 - 12• Weekly reporting of Operational progress including remaining cases, outcomes, quality and productivity• Provided detailed commentary for results/quality/issues on Operational progress reports for FCA• Recommend solutions on risks/concerns to RBS Senior Management to help them understand advice issues and to enable accurate dialogue with FCA• Interrogation of MI Reports to manage workflow, initial mailings, chasers and reviews within Operations to ensure we treat every customer fairly and meet Standard Operating Procedures• Oversight and daily management of Operational risks, including creating solutions and implementation of process changes to assist with the closure of Project to agreed FCA deadlines• Desktop review of historic investment, protection and pension advice for RBS Channels of Distribution• Weekly reporting of team performance around productivity and quality10/3/14 to 29/7/16 - worked at HSBC undertaking investment file reviews on advice provided by Bank employed advisers.This involves a thorough review of KYC information and customer contact to assess the suitability of advice to customers circumstances at the time.If advice is graded as Unsuitable, creating strategies to ensure any customer detriment for this advice is remediated.

Coventry, United Kingdom

Managed the identification, definition, escalation and reporting of actual and potential regulatory and reputational risks in order that they were fully visible, appropriately addressed and mitigated Reviewed and critiqued the analysis and interpretation of collected data in order to propose opportunities for further risk mitigation in relation to the Business Unit’s risk appetiteDelivered and maintained effective systems and controls for the management of regulatory issues, ensuring closure to required time scalesWorked closely with the senior management teams to identify, assess and manage risks, providing appropriate support to Approved Person’s including preparation for regulatory visitsUndertook Complaint Root Cause Analysis to identify improvements in advice processProvided input to internal audit plan’s and managed outcomes so that maximum benefit was attainedWorked with Business Unit subject matter experts to define and quantify scenarios to meet Short Term Economic Capital requirements and the companies Group Operational Risk FrameworkManagement of Business Units adherence (450 employees throughout the United Kingdom) to Treating Customer Fairly(TCF), Anti Money Laundering (AML), Data Protection, Information Security, Anti-Bribery policies including annual regulatory and company testing.Managed compliance change and the impacts on business submission, advice process and literature

Coventry

Responsible for regulated file quality checking ensuring documentation produced by Financial Planning Managers was clear and concise and in accordance with Regulatory and internal standardsQuality checked Factfind auditors, produced and analysed data to identify issues and training needsTrained/coached Factfind auditors on the file checking process and on changes to guidelines to ensure consistency across the unitEmbedded the Treating Customer Fairly principle within the areaIdentified and implemented improvements to Best Advice guidelines and Sales Processes to reduce risks including analysis of new products to ensure guidelines were aligned to target customer market

Coventry, United Kingdom

Temporary secondment to resource an increase in Endowment complaints.Investigated endowment miselling complaints, reaching a decision based on limited information and composed a detailed letter to customers to explain the reasons for the decision

Coventry, United Kingdom

Acting as first point of contact for customers and advisors on Life and Pension products

Coventry, United Kingdom

Manually calculate and provide life and pension quotations, (including Surrender Values, Maturity Values & Change quotations) for Customers, IFA’s & Appointed Representatives

Ifs Level 4 Diploma In Financial Advice

Level 3 Certificate In Financial Planning

Certificate In Mortgage Advice And Practice (Cemap)

Financial Planning Certificates 1, 2 & 3

Education record

8 GCSEs (A-C) including Maths and English