David Dean Email & Phone Number

Hosforth

Head of the Advice Quality Review department. Ensuring services to Personal Touch's membership is undertaken in accordance with the company's agreed standards and procedures.

Responsibility within the governance function to conduct regulatory-based Compliance Monitoring reviews across the Group in accordance with the department's risk-based review programme. Producing detailed reports for senior management which articulated key findings and remedial actions to mitigate identified regulatory risks.

Quality assurance contracting position for a high profile project within the banking sector, responsible for ensuring qualitative standards and key deliverables were achieved across various work streams.

Surrey

During the period of this contract role I was responsible for managing the risk universe in relation to the Company's annuity operation which involved monitoring and enhancing high level controls, undetaking root-cause analysis of risk events and reporting on a regular basis to senior management.

Undertaking operational audits to ensure that the Company’s control environment was working effectively to mitigate risks to the business.This role required a detailed understanding of risks associated with the Company’s operational model and pragmatic business focused approach to reaching sound solutions.

Conducting detailed risk-based assessments of the operational control environment within Royal Liver’s group of companies in the U.K and Eire in the context of the company’s regulatory risk mitigation framework. Supported the Solvency 2 audit project delivery and the Company’s strategic change programme.

Project managing key aspects of setting up and launching this national IFA company’s dedicated annuity sales operation which was created to complement the Company’s “At Retirement” proposition. This operation from its inception was regarded as a high profile initiative which was a prime component of the Company’s overall strategic business objective of.

Providing training and compliance support to financial services companies on an consultancy basis

My role was to develop the company’s training & competence scheme and ensure that regulatory and company standards were applied consistently throughout the network. A key aspect of my work was to deliver bespoke coaching and training sessions based on individual and shared development needs from induction training through to ongoing support for the.

Senior Quality & Risk Officer for a group of financial service companies which were subsidiaries of Capital One Bank (Europe) Plc. The principle responsibility of my role was to ensure that all necessary systems and controls were implemented in a pragmatic way throughout the group, in order to meet all regulatory requirements, and the evolving business.

New Business QA Team Leader, Aug 2002 ~ Dec 2003Managing the review of regulated business sales in order to assess adherence to the FSA’s conduct of business rules, and company best practices whist providing a help desk function for technical queries from the business. Senior Financial Adviser, Sept 1997 ~ Aug 2002Advising on a comprehensive range of.