David Vaughan Email & Phone Number

Home Based

Helping customers to access their accounts and provide information when requested

Home Based

Working within the Governance Team reporting to the Governance DirectorProvide daily reporting on volumes and progress on complaintsProvide annual report to the Board relating to the complaints activities. Investigating the more complex complaintsAudit and provide assurance reports on various activities within the operationDesign and present training sessions in relation to complaints to the Operation

Home Based

Support Novitas Loans in the Management of their complaints.• Monitor Productivity & Adherence to Timescales• Provide guidance On The Complaints Process & Requirements to a small team of complaint handlers• Provide guidance on evidence required during the investigation of complaints • Provide guidance on the composition of Final Response Letters• Investigate more complex complaints

Home Based

Manage a team of case handlers on an Irresponsible Lending Project reviewing complaints from Data Gather to Redress.• Responsible for productivity and quality of the team.. Authorising Redress

Cardiff, Wales, United Kingdom

• Manage a team of case handlers data gathering on PPI complaints in readiness for review and redress.• Responsible for the allocation of cases• Responsible for productivity and quality of the team.• Provide feedback and guidance on cases data gathered• Ensure that the individual team members T&C folders are up to date.

Various

Train New Regulated Sales Process

Manchester, United Kingdom

Reviewing Customer Accounts (Business) to ensure the information held by the Bank complies to the standards required. Any shortfalls investigated and resolved where possible by making further enquiries including customer contact

Manchester, United Kingdom

• Reviewing mortgage cases to understand whether the original advice was appropriate at point of sale in a number of areas including: Affordability, Term, Lending into Retirement, Debt Consolidation and Appropriateness of The Product.• Communicate with the customer by telephone and letter.• Recommend redress and distress & inconvenience if appropriate • Know Your Customer Checks• Quality Check Completed Reviews

Skipton, North Yorkshire, United Kingdom

Mortgage File Reviewer on a short project reviewing mortgage arrears cases.Working within the 2LOD of the Society. Investigating Mortgage Accounts that are or have been in arrears to assess whether the borrowers have had a fair outcome, and that the Society has considered all forbearance options when in contact with the borrowers. Identify whether customer vulnerability has been recognised and appropriate steps taken to ensure the vulnerability has been taken into consideration. Capture all the information relevant to the case highlighting any poor behaviours by the Society towards the borrowers and prepare a report.

Bournemouth, United Kingdom

Managing a team of complaint handlers reviewing a backlog of complaints

Gloucester, United Kingdom

• Manage Team of Call Handlers dealing with incoming calls from customers who have received letters indicating fees may have been charged incorrectly• Provide feedback on QC fails to improve quality and ensure customers have a fair outcome as a result of calling in to the project• Produce MI for Operations Manager including identifying trends e.g. QC fails• Produce Failure Mode Effect Analysis (FMEA) for Operation • Design and present training sessions

Glasgow

Review the decisions made by various parts of the process including Triage, Data Gathering Investigations to ensure the decisions made provide a Fair Outcome for the customer.

Chester

• Working with risk management on Operations Control Reviews• Provide support to the Operational Control Team on Conduct Compliance & Operational Risk• Ongoing review of business activities within the Credit Operations division (Collections & Recoveries) and adherence to key controls• Customers In Financial Difficulty CIFID – how to use outcome testing categories• Review Supplier Management Reports and track outstanding actions• Review training modules on how to identify vulnerable customers and understand their needs and provide feedback• Provide ongoing BAU support to Credit Operations & Collections & Recoveries

Leek

• Investigating Mortgage Accounts that are or have been in arrears to assess whether the borrowers have been treated fairly and that the Bank has considered all forbearance options when in contact with the borrowers.• Identify whether customer vulnerability has been recognised if not recommend appropriate redress or remediation• Provide training support and guidance to the customer contact team on how vulnerable customers should be contacted and treated.• Capture all the information relevant to the case highlighting any poor behaviours by the Bank towards the borrowers and prepare a report.• Recommend appropriate redress and or remediation activities where necessary.• Refer for borrower contact.

Liverpool

Team Leader on an Arrears Remediation Project• Managing a team of case handlers who were reviewing mortgage accounts that have, or are in arrears with a view to reverse various charges that may have been debited to the accounts unfairly.• Allocate cases to be remediated and review productivity and quality• Design and Implement QC process to check quality of remediation accounts that are being remediated.• Provide training to the team on how to identify and handle vulnerable customers on incoming calls• Provide input and feedback on the design of an automated remediation tool

Cardiff, United Kingdom

Design and Implement Outcome Based Testing For A Major Institution In Cardiff• Part of a small team tasked with designing and implementing an outcome based testing approach across a number of work streams including new mortgage business, mortgage arrears and complaints to test whether or not customers are receiving fair outcome in their interactions with the organisation. • Provide coaching support to permanent members of staff to enable them to become competent.

Edinburgh, United Kingdom

Past Business Review Of Sales Investment Products including ISA’s OEIC’s etc. for major organisation in Edinburgh

Cardiff, United Kingdom

To manage the relationship between the Bank and a number of CMC’s to ensure the resolution of the PPI complaints submitted by them are processed as smoothly as possible.• Visiting CMC’s to discuss their activities and to try to obtain agreement on a range of working practices.• Provide feedback to the bank on the views held and any problems that there may be.• Provide an avenue for the CMC’s to escalate serious problems they may have so that they can be resolved

Shannon Ireland

Supporting Operation in Shannon, Republic Of Ireland reviewing PPI complaints on a short term basis to improve the running of the operation.• The main priority was to improve the efficiency of the operation in Shannon so that operation understood the volumes of complaints processed and were able to report in a timely manner to the onshore operation the daily activity in volumes processed and breaches etc• To ensure that breaches of regulatory timescales are reduced to a minimum or eradicated by introducing a process to identify the age of the complaints and ensure they are worked in age order• Provide guidance on daily reporting by producing meaningful MI so that it was clear to Senior executives what the update position was. I improved the timeliness of this so that the position was clear by first thing next day rather than the end of the following day • To identify obstacles preventing the Operation meeting the above two bullet points and resolving them. I arranged for access to systems previously not available and engaged with other business areas to ensure complaints could be identified earlier. • Support the design and development of processes, training & MI requirements for new workstreams to be undertaken

Chester, United Kingdom

Responsibilities For Data Subject Access Requests (DSAR) plus On Shore Support for an Indexing and Acknowledgement workstream in Manila• There were approximately 150 people working in these workstreams and I was responsible for ensuring that the workstreams were effectively resourced and working efficiently.• I had a key role in developing designing and embedding the process• With increasing volumes after approaching some of the major Complaint Management Companies designed a shorter process to supply the information required in a reduced timescales, this was vital as volumes were increasing and this enabled the Operation to deal with thousands more requests a week • Provide daily reports and updates for the next level of management above • Ensuring that regulatory timescales are adhered to.• Ensuring productivity and quality targets are achieved

South Wales

Employed manager with responsibilities for a number of businesses tied to L& G as far as developing their business and compliance.