Carl Sulzmann Email & Phone Number

Since being involved with compliance I have successfully implemented and monitored a robust risk management framework which became embedded within the company. As part of my compliance responsibilities I conduct internal walk around audits, write and organise thematic reviews, have involvement with anti-money laundering procedures (AML) and customer journey/ root cause analysis. I am also responsible for updating the business on any required changes to regulation in what is a very fast moving and ever changing industry that has dual regulators (SRA and FCA).I helped to create and implement our Quality, Risk and Compliance Committee (QRCC). I provide the MI and data for the report which is fed back to senior management and key stakeholders regularly. An additional part of my responsibilities to the committee is to update all members with any relevant updates from the company risk register - which I also maintain and take responsibility for.In addition to this I am responsible for maintenance, review and implementation of any policies and procedures used within the company to ensure effective governance and suitable compliance oversight.I also continue to have management responsibility for the second line of defence (Quality Assurance) for Bryan Carter and I am considered a member of the management team. In terms of management I currently have four direct reports which includes a second line Quality Assurance Officer, a Training and Development specialist, a Strategic correspondence specialist and the Complaints Team Leader.

I became part of the Fredrickson Compliance team specifically for second line oversight of Bryan Carter Solicitors LLP as a supplier. In this role I had involvement with all areas of Quality Assurance and helped maintain the regulatory standards the company abides by, which includes the Solicitors Regulation Authority (SRA) and the Financial Conduct Authority (FCA). I was responsible for all required changes and updating the business for anything relating to the Consumer Credit Sourcebook (CONC) as well as other relevant sections of the FCA/SRA handbooks.An important part of this role was to have sufficient second line oversight of customer interactions and to ensure that every customer journey was a positive one with the correct outcome. Where it was not recommendations were made to the business to improve standards and processes. This was achieved by the way of regular reports on second line results, root cause analysis and also calibration sessions, chaired by myself. This formed an integral part of the three lines of defence model that was being adopted.

Previously worked as a Quality Co-ordinator for Bryan Carter Solicitors LLP where I was responsible for maintaining call quality within the department amongst other responsibilities, including training staff and providing calls to our client’s for audit purposes. In addition to this I have created and adapted our scorecards regularly by which we grade the quality of our customer communications and was considered a part of the call centre management team. Before the Quality Coordinator role I held a senior team leader position for several years before being promoted. When I first started with the company I was on the phone with our customer’s as a Junior Negotiator so I have successfully progressed through all the levels of the company, within operations and beyond.

Education record

Education record