Eilidh Munro Email and Phone Number

Wealth Compliance Advisory

Provide first line of defence Operational Risk oversight within Investment Operations, supporting the business to effectively identify, assess, manage and report risks in line with company policies, standards, frameworks and regulatory requirements. Including;- Facilitate the completion of the Risk and Control Self-Assessment (Top Down) process for operational risks.- Complete operational process reviews to identify and assess risk concentrations / control effectiveness. - Provide Risk oversight of projects and change activities ensuring risks are managed in line with company policies, standards and frameworks and regulatory requirements are fulfilled.- Manage the completion of policy reviews and gap analysis exercises to embed core policy requirements and identify / mitigate areas of non-compliance.- Support, oversee and challenge the completion / ongoing management of CASS Risk and Control Assessments within internal and external supplier environments.- Support completion of the annual external CASS audit.- Provide oversight and analysis to support the effective management of CASS breaches and operational/ IT incidents ensuring all internal and external reporting requirements are met. - Complete Risk reporting and trend analysis for relevant committees (internal and external), governance forums and Board meetings.- Ensure all actions arising from Internal Audits, External Audits and Compliance Monitoring reviews are accurately reported, monitored and managed through to completion within the required timescales.- Nurture ongoing relationships with key internal and external stakeholders including IT, Compliance, third party suppliers, Operational Risk Line 2, Internal Audit and Operations.- Input into the development of Operational Risk strategies and solutions for project and BAU activity, working with key stakeholders.- Oversee the effectiveness of Business Continuity Planning.- Promote positive risk aware culture across Operations.

This role involves• Creating detailed Process Control Documents for both critical and non-critical processes carried out by Trade Services prioritised by criticality e.g. audit requirements. • Liaising with SMEs to gather procedural information required to create process maps and detailed procedural steps, highlighting the presence of pre-determined key controls. • Identifying control weaknesses and areas for improvement to ensure tasks are completed in the most efficient and time effective manner. Escalate issues where required. • Uploading final signed-off PCD documents to Share-point and communicating to internal customers • Creating and distributing minutes at weekly Change Programme and Trade Managers meeting. • Facilitating Change Programme meeting in Change Manager's absence.

I have undertaken four, six month placements in various departments and operational areas within Technology and Operations at Santander.

• My role involved completing daily oversight and monitoring checks to ensure quality and consistency of services provided by suppliers. • Prompt and efficient response to ad hoc issues. Identifying and arranging resolution with the appropriate party, ensuring all affected stakeholders were informed as soon as possible, kept up to date with progress of resolution/timescales and escalating the issue as appropriate to ensure regulatory requirements were met and customer impact minimised. • Act as point of contact for the team in Control Manager’s absence. • Help prepare workshop to review the SIM control framework. • Exposure to incident management and resolution through involvement in project setup to resolve FCA reported incident.

• Manage and maintain an internal inventory of all IT applications used within the bank to ensure high level of data quality • Assess all applications in terms of operational and technological risk. • Analyse results and present business case • Create and maintain an application decommissioning tracker in line with obsolescence management projects. • Create Engagement Manager Map for newly developed IT tool to help business users identify applications falling within their area of responsibility. • Link applications with other repositories to provide visibility of IT incidents to business users. • The role required close liaison with IT companies and various business contacts both locally and at a global level.

• My role involved providing advice and oversight on data privacy matters with a focus on the secure transfer of customer and other personal/ sensitive information for both internal and external data transfers. • Responsible for the monitoring and tracking of Customer Data Security Compliance Workbooks completed by business areas across Santander UK. • Completing data analysis to identify areas of concern which required intervention • Working with business areas to identify a secure/ compliant solution and to create and agree an action plan. • Monitoring action plans through to completion, including escalating issues as appropriate where non compliances continued. • Reviewing initial Supplier Self Assessments as part of the supplier management cycle, prior to an award of contract being made. • Minute taker at monthly Data Security Forum attended by multiple stakeholders• Penetration testing of Santander owned website domains.

My role of customer service advisor within the investment team involved servicing client accounts; processing repurchases, increments, switching investment funds, providing up to date product valuations and complaint resolution. This entailed liaising on a daily basis with a spectrum of personnel and stakeholders to service client accounts while adhering to strict deadlines. I enjoyed growing and maintaining relationships with clients, utilising my problem solving skills to effectively resolve enquiries and complaints. During my time in this role, I also worked within the personal banking environment. This required strict compliance with data protection and a high level of attention to detail.