Daryl Richardson Email & Phone Number

London, England, United Kingdom

Responsible for undertaking assurance reviews across the HSBC Innovation Banking business, covering regulatory compliance and non-financial risks. Working closely with key stakeholders across the business to deliver effective solutions to identified issues arising during assurance reviews. Collaborating and providing input into the annual risk assessment process and regular reporting where required. Supporting the implementation of the HSBC risk management framework into the innovation bank post-acquisition. Conducting targeted reviews on the risk management framework implementation plan to ensure that the business meets its commitments to the PRA.

London, England, United Kingdom

• Responsible for the full creation of a compliance monitoring function, this included creation of a compliance universe, risk based monitoring plan and all required template documents.• Carrying out monitoring reviews across the business according to the monitoring plan.• Monitor the businesses position against risk limits, risk appetite statements and risk criteria statements.• Making recommendations following monitoring review findings and working with the business to implement changes and aid the maintenance of appropriate controls.• Creating, reviewing and maintaining various compliance policies, procedures and documents.• Supporting the Chief Operating Officer in understanding risks arising, incident and breach reporting.

Bournemouth, United Kingdom

Undertaking monitoring reviews across the group including Health, Life and Invest businesses. Undertaking routine and thematic reviews to drive improvement and mitigate regulatory risks across the business.Ensuring Vitality’s annual risk based monitoring plan is kept under review and evolves to meet emerging regulatory risks.Coordinating with governance, compliance and Internal audit teams to facilitate an effective combined assurance approach across both the 2nd and 3rd lines of defence.Proactively tracking actions arising from reviews through to closure.Striking a pragmatic balance between reporting of exceptions and providing positive assurance.

Bournemouth, United Kingdom

Self-employed role utilised to spend more time with my family. A small business selling alloy wheels online.

Bournemouth, United Kingdom

• Assisting in the delivery of the regulatory assurance plan• Completing reviews of business units• Working with key stakeholders • Leading / supporting reviews• Developing a compliance culture• Ensuring adherence to policies, procedures and regulation

Bournemouth, United Kingdom

Based on the Health-On-Line offices in Bournemouth, I was responsible for quality assurance of health, life and over 50s insurance. Providing guidance to the compliance/sales teams in relation to a wide range of compliance matters, applying FCA guidance and previous experience to provide a compliant and business focused solution.Literature and product sign-off to ensure that all documentation used within the business is compliant, where necessary reviewing and recommending improvements to these.Liaising with all levels of senior management in the company to provide feedback and suggest ways to improve and mitigate any potential risk.Supporting the senior management team by producing accurate compliance logs and monthly MI and presenting these to department heads with appropriate solutions.Involved in the implementation of new processes and products into the business, including reviewing FCA requirements alongside provider and business requirements to come up with an acceptable way to include them in the sales/QA process.As a Senior Compliance Assistant i held people management responsibilities; I had a team of 10 QA agents who reported directly to me, I was responsible for the daily running of this team and ensuring that they were productive and maintained a high level of accuracy in the work they produced.I was initially a Compliance Quality Assessor, promoted to Senior Compliance Assistant after 6 months.