As a Compliance Specialist I am part of a small, business facing, team providing compliance support, advice, oversight for Berkshire Hathaway entities to adhere to the regulatory framework in order that we can meet current and future regulatory obligations.This includes the following:Taking the lead on data privacy across all the entities and ensure all data privacy notices are consistent with the overall corporate requirements. Ensure that the necessary permissions and contracts are in place for data transfers outside the EEA.Conduct Data Privacy Impact and due diligent Assessments on all new brokers, appointed representatives and MGA’s and re-test these annually to ensure continued compliance and setting-up appropriate monitoring programs.Approve all financial promotions for the entities.Oversight of the Berkshire Hathaway Irish and French products from a compliance view.Compile the annual compliance plan for MedPro International and have sign off from the SMT. To ensure that the actions against the compliance plan are met and that monitoring plans, procedures and policy documents are developed as required.Provide compliance support on new business projects through ToBA review, working closely with the class Underwriters in ensuring project methodology is followed and client onboarding is completed following all due diligence checks and sanctions screening.Provide compliance training with internal staff and with brokers and MGA’s when required.Introduced SMCR training and FCA requirements around the certification of the SMT.Provide compliance support around financial crime activities dependent on the corporation’s risk appetite across the various jurisdictions.

Reviewing financial promotions on behalf of Openwork Ltd and Owl Financial, ensuring compliance with FCA rules and TCF principles and within agreed SLAs and ensuring regulatory and Openwork standards are achieved and maintained through monitoring activity. Managing the regulatory and commercial risks associated with financial promotions to an acceptable level, escalating as appropriate. Keeping up to date with changes in regulation or other factors which impact on financial promotions, ensuring they are correctly interpreted and applied.Providing advice and support on adherence to FCA rules to Appointed Representatives looking to create financial promotions. Looking for and recommending improvements and efficiencies on an ongoing basis, with the aim of decreasing the number of bespoke promotions received and increasing the use of pre-approved templates (eg. via Smart Hub). Taking ownership and running associated projects that support the Marketing team’s objectives.

To provide compliance financial approval sign off on a variety of promotional material via a range of media, across the business. To effectively help meet sales offers on vehicles ensuring compliance around the various finance deals and the associated requirements of FCA Concs and ASA codes.

supporting the Pension Scheme compliance with regards to DSAR's, Data Breach analysis and reporting. Compliance advice on pension related matters, process review and implementation.

To assess and provide support in meeting the regulatory requirements of the planned Irish Subsidiary (Equitable Life Ireland), delivering Brexit project actions in line with the agreed plan. This will include building and implementing the Regulatory Risk and Compliance Framework for the Irish subsidiary. Key Responsibilities • Assess regulatory requirements for the Irish subsidiary and develop a gap analysis.• Build and implement a plan to address identified gaps, in order to meet regulatory requirements.• Deliver Brexit project actions as required • Undertake horizon scanning to identify emerging regulatory development and changes that may impact the Irish and German business and assist in analysing and communicating their impact to internal stakeholders. • Assess and introduce Irish AML regulations and legislation; financial crime horizon scanning, regulatory news and preparing internal financial crime updates.• Work with other parts of the business, coordinating and/or compiling responses to regulatory information and data requests.• Undertake adhoc research projects, trouble shooting and fact finds, producing reports or presentations on findings and recommendations. • Assisting with timely preparation and submission of required regulatory forms, reports and returns. • Assist in the development and ongoing maintenance of Equitable Life Ireland company Policies and Frameworks, in particular those with regulatory aspects.

To provide Risk and Compliance oversight and review and approve all appropriate output emanating from project MacDonald, to ensure compliance with the Financial Conduct Authority (FCA)/Advertising Standards Authority (ASA) requirements.Ensure that revised project output material meets the Code of Business Sourcebook (COBS) standards.To ensure consistency with Lloyds standards by liaising with the Risk and controls team approving the current suite of financial promotion material, and meeting the GDPR changes for May 2018.

Deliver consultancy service regarding all Intrinsic FS Financial Advisers customer facing to ensure compliance with the Financial Conduct Authority (FCA)/Advertising Standards Authority (ASA) requirements.Ensure that client facing material meets the Code of Business Sourcebook (COBS) standards.

currently undertaking audit of Financial Promotion material and monitoring for accreditation of Financial Promotion staff.

Support UK and Far East Partners with web content, tailoring service charters, client communications and LinkedIn profile approval to meet business strategy and ensure FCA compliance.

Responsible for approving draft web-based/printed marketing materials to ensure these comply with regulatory requirements, audits trails and are technically accurate and appropriate to the marketing messages.

currently provide technical and regulatory support to Capita business areas for the administration of the AVC products for Prudential Assurance Company.

To interview and assess award practioners against ICS standards to reach qualification on award undertaken.

Pensions technical internal support for 60 Operations Administrators and 15 Account Managers. . Liaison with risk, legal and project teams internally also DWP / HMRC and government bodies for Public Sector schemes.

managed a book of 60 pension clients and in addition persued new business leads and managed the branch for the company, consisting some 30 staff, including 4 executive sales managers. Cost cutting, persistency and profit margin were my major drivers.

managed team of pension experts and administrators for 250 clients, of which there were 20 large and multinational organisations with a combined annual fee of z$10 million in 1997.