David Rawlings Email & Phone Number

Contract roles that include:(PwC) consultant Compliance Monitoring Manager.- Develop, design and oversee risk based second line regulatory compliance monitoring reviews.- Manage compliance monitoring teams across sites to ensure delivery to Group objectives.- Prepare terms of reference and testing work programmes.- Prepare close-out reports detailing findings and present to stakeholders and committees.- Provide independent, risk-based monitoring of key compliance and conduct risk issues.- Ensure the business complies with relevant regulations by operation of effective controls. Investment Advice past business review.Mortgage Advice past business review.(KPMG, s166 Skilled Person review) Interest Rate Hedging Products past business review.(KPMG) sales guidance material and business outcomes review for high net worth IFA.

- Manage and develop infrastructure to ensure Group compliance with regulatory requirements to deliver compliant advice.- Training and Competence development and oversight for all products via branch and contact centre channels.- Develop and maintain Retail operational risk model and associated controls with operational risk oversight.- Identify management actions required from all audits, compliance reviews and mystery shopping reports and presenting at compliance oversight and audit committee meetings.

- Management and development of team of professionals delivering specialist technical support and pre-sales advice to 1,200 regulated advisers and sales managers.- Re-engineering business practices as a result of regulatory/business change, supporting and enhancing a culture of 'compliance quality'.- Provide executive managers with appropriate coaching and mentoring skills significantly improving business submission quality and reducing business rejection rates.- Provide consultancy to the Chartered Insurance Institute.