David Marshfield Email & Phone Number

A resourceful hard-working and dedicated individual with a wide experience of different roles with leading companies in the financial sector. Articulate and well organised, combining a professional and mature approach whilst focusing on exceeding customer service expectations. Works well both independently and as part of a team, demonstrating the motivation and organizational skills required to meet demanding targets. Combines an analytical and professional approach with excellent interpersonal skills.• First class communication skills, building trust and encouraging open and honest discussion with internal and external customers, team members and colleagues.• Sound financial analysis skills with ability to assimilate complex information and make concise well informed decisions.• Excels when working under pressure and meeting deadlines.• Computer literate and keen to develop existing skills.

Listed skills include Experience Of Interpreting Regulatory Requirements, Knowledge Of The Fca'S Approved Persons Regime, Working Within An Operational Risk Environment, and Leveraging Relationships.

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  Compliance Officer

  Royal Bank Of Scotland

  Nov 1997 - Jan 2015 - Bristol, United Kingdom

  Compliance Manager within the 2nd Line Advisory function of Personal & Business Banking Division, RBS. Supporting the delivery of all internal compliance and regulatory reporting in line with the Bank’s second line of defence operating model. Ensuring Operational Risk requirements and responsibilities for the UK Retail Compliance function are appropriately understood and managed. Supported the production of analysis and insights from across key UK Retail Risks that aid the wider Risk Management agenda across UK Retail, specifically:-• Ensure efficient processes exist for all reporting requirements,• Executed internal reporting needs and challenged where process could be improved,• provided proportionate oversight in order to give second line of defence comfort with regulatory reporting requirements,• Conducted quarterly control environment testing ensuring Compliance with the policy standard.• Monitored UK Retail wide Incident Management activity,• Contributed to the ongoing maintenance of the Retail Compliance disaster recovery plans and call cascades,• Maintain an up to date knowledge of the regulatory landscape,• Provided expert support and advice to the business on the management of the risks which are overseen or controlled.Between 2000 and 2010 I performed a role that involved monitoring of the Bank's Approved Persons. My role was to provide interpretation of the FCA's regulatory rules in order to ensure that all relevant processes and procedures complied with the both the FCA's 'fit and proper' requirements and business standards.I had to provide proactive Compliance guidance to the HR function and to act as it's focal point for all regulatory information, ensuring that the Bank meet it's regulatory obligations in respect of the monitoring of all Approved Persons. As part of this role i successfully trained members of HR, providing appropriate coaching and guidance, as per the bank’s recruitment and disciplinary processes and procedures.

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  Soundwell Technical College

  Accounting And Business/Management