• SMF16 Compliance Oversight• SMF17 Money Laundering Reporting OfficerResponsible for risk management plus compliance oversight and anti money laundering / financial crime ensuring a proactive delivery of compliance services to client companies.• Direct and oversee the provision of the Regulatory Compliance function, managing a team of twenty including six in India• Manage the relationship with the FCA• Provide leadership, guidance and technical support across the business on FCA rules and regulatory risks including Financial Crime and Information Security• Introduced the Financial Crime Risk Assessment Framework• Develop the team, their skills and enhance the regulatory training• Established the Conduct Risk Committee• Set the Conduct Risk appetite statement• Instigated the Conduct Risk Framework • Enhanced the Monitoring programme to provide effective oversight of key Conduct Risk indicators within the Conduct Risk Universe• Report to the Board and the Risk Committee including provision of relevant and meaningful MI• Chair of the Regulatory Change Board overseeing all aspects of regulatory change from identification through to implementation • Oversight of the compliance of the outsource relationships• Lead change projects• Maintain compliance oversight across all offices including India• Developed enterprise wide Risk Management Framework

Chief Financial OfficerProject Management to provide solutions to other Companies Business problemsBusiness ConsultantGenerating sales enquiriesDeveloping Marketing strategies and promotional materialPromoting best practices to Management of Client Companies Representing company at Industry eventsLiaising with Government Bodies

CF10 Compliance OversightCF11 Money Laundering Reporting OfficerCF28 Systems and Controls OversightRegulatory Monitoring Plan activities setting and reviewRisk and Compliance Manager heading a team of sixClient Companies include Major Banks and Life Assurance Companies who have Outsourced their Investment and Life Policy Administration

CF 10 – Compliance Officer.CF 11 – Money Laundering Reporting Officer.Managing the relationship with the FSA.Instigated and oversaw a monitoring programme that enabled compliance staff to monitor effectively on a risk based approach. Ensuring that T&C and Compliance procedures are adhered to.Risk assessment and strategy for mitigation.Project Managed implications of Business Continuity and established as leader.Accompanied visits, observing competent advisers and advising on areas for development and development of Trainee advisers to competent status.