Glynn Muggleton Email & Phone Number

Home Based

Manage a portfolio of Investment File Reviews. Ensure that all documents were available for the review and determine the case is in scope and suitable to review. Investigate the case to determine the suitability of the investment by examining case file evidence. Completing a bespoke data information form with rationale and evidence from the files determine a decision. Complete redress form for each section. Share knowledge and provide support to other file reviewers.

Home Based

Manage a portfolio of Defined Benefit transfer cases. Investigate the case to determine if the transfer to personal pension was suitable by examining evidence against the required standards. Completing a DBAAT form to gather the information required to determine a decision. Write articulate and well-reasoned outcomes on the suitability of the transfer. Ensure that all documents were available for the review and request those required if missing. Update the database with the suitability of the transfer and if the investment product was suitable. Share knowledge and provide support to other file reviewers. Project brought in ahead of schedule.

Home Based

Manage a portfolio of Defined Benefit transfer cases. Investigate the case to determine if the transfer to personal pension was suitable by examining evidence against the required standards. Completing a DBAAT form to gather the information required to determine a decision. Write articulate and well-reasoned outcomes on the suitability of the transfer. Ensure that all documents were available for the review and request those required if missing. Update the database with the suitability of the transfer and if the investment product was suitable. Share knowledge and provide support to other file reviewers.

Home Based

Manage a portfolio of simple and complex cases that require investigation. Investigate personal pension complaints cases by identifying the key issues, gathering information as required and examining evidence against the required standards. Completing a timeline of events and determining if a detriment has occurred and to uphold or refute a complaint. Write articulate and well-reasoned outcomes on the merits of complaints. Calculate any financial loss for fees, investment or interest loss if required. Contacting members by phone and writing letters to complainants. Ensure that payments for restitution, compensation are raised and the complaints database was updated. Share knowledge and provide technical support to other Case Managers.

Home Based

Past business review of a select number of cases for investments in investment funds, investment Bonds, VCT, EIS and lifetime mortgages. Cases had to be reviewed and commented on for suitability.

Salisbury, England, United Kingdom

Manage a portfolio of simple and complex cases that require investigation. Investigate SIPP personal pension cases by identifying the key issues, gathering information as required and examining evidence against the required standards. Completing a timeline of events and determining if a detriment has occurred and to uphold or refute a complaint. Write articulate and well-reasoned outcomes on the merits of complaints. Calculate any financial loss for fees, investment or interest loss if required. Contacting members by phone and writing letters to complainants. Ensure that payments for restitution, compensation are raised and the complaints database was updated. Share knowledge and provide technical support to other Case Managers.

United Kingdom

Manage a portfolio of simple and complex cases that require investigation. Investigate occupational and personal pension cases by identifying the key issues, gathering information as required and examining evidence against the required standards. Completing a timeline of events and determining if a detriment has occurred and to uphold or refute a complaint. Write articulate and well-reasoned outcomes on the merits of complaints. Calculate any financial loss for fees, investment or interest loss if required. Contacting members by phone and writing letters to complainants. Ensure that payments for restitution, compensation are raised and the complaints database was updated. Share knowledge and provide technical support to other Case Managers.

Salisbury, United Kingdom

Contractor FTC - James Hay Partnership: January 2020 to Current: As Resolution Manager I engage with SSAS and SIPP teams. In a file review of SSAS schemes to ensure trustees compliance with regulatory and legislative duties. All statutory documents held on file are correct. Deed, investments and property titles are correct. Review rental agreements and payment records and that Loans and/or mortgages record of repayment are maintained. Determine and perform fund split calculations at regulatory intervals. Ensure all regulatory documents is provided to a customer such as MAPP, LTA and Benefit Reviews. Contacted members with remediation actions for missing documentation and address any benefit issues accordingly. In the SIPP In-Specie Transfer In; ensure all in-specie transfers are recorded correctly and engage with providers to work within reasonable time to complete transfers in to the SIPP schemes. Recognise and review Complaints to ensure they are being dealt with in a timely matter and produce event timelines to support complaint decisions.

National

Case file reviewer for Investments, Pensions, Mortgages and Protection products.Skilled Outcome Tester for secured and unsecured lending developing root cause analytics.Director, Glawsby Consultancy Limited• Mar 2019 to Oct 2019 - Project run by big 4 firm: Remediation Pensions Analyst on SIB Pensions project for Prudential. Analysing and reviewing case files for pension transfers, non-joiner and opt-outs from Final Salary Occupational Pension Schemes. Analysing historical DB pension information to determine the benefits members would have been entitled against transferred out benefits calculated using HCAS RECAL redress software for remediation. Completion of project data collection files and databases. Following a quality check; to Finally, to write an explanation offer letter to the customer. • Mar 2017 to Mar 2019 - RFS: Outcome Tester for secured and unsecured lending against correct advice, actions and processes. Listening to customer contact and identifying vulnerability issues. Ensured calls were complaint compliant against PSD-2 service processes & Fraud procedures and they followed processes to meet business compliance. Analysed for Root Cause for enabling business to review trends and make changes.• Jul 2016 to Dec 2016 - Alexander Ash: Investment and Protection Review - Assessment of customer case file to ensure regulated financial advice and business processes were correct.• Jun 2014 to Jul 2016 - Hazell Carr: Investment Review - Assessment of customer files for regulated financial advice and correct advice and process. Member of simplification team to simplify the assessment review process and Trusts project team member. Responsible for management of case load and ensuring timely review management for client expectations.• Feb 2014 to Jun 2014 - Self-employed Business adviser: offered advice to small companies on Automatic Enrolment products and systems preparati on and installation.

Brighton, England, United Kingdom

Informing the banking sectors employers about employer responsibilities for Automatic Enrolment. presentation to organisations and companies about employer duties under Automatic Enrolment. Managed business cases for providers and advisers to discuss individual propositions for the market. Delivered Automatic Enrolment presentations to providers, advisers and employers.

Ferndown, Dorset

• Financial adviser authorised to provide advice on individual pensions, investments, life assurance and corporate financial planning.• Case file reviews for Pension and investments for Wealth Management Advisors and Directors• Personal & corporate clients, writing comprehensive financial plans designed to meet their personally identified financial needs.• Responsible for 20 Group Pension schemes, managing new employees into the pension schemes and provide advice on the schemes• Advised on Annuity, PPP, SIPP, SSAS and RAC pension products and solutions, sourcing appropriate plan with enhancement options.• Responsible for the automatic enrolment policy and associated processes.• Presentations to SME businesses on employers’ duties for automatic enrolment.• Designed and implemented automatic enrolment strategies for small and medium sized businesses.

Wimborne

• Taken over by Ward Goodman taken over 1 February 2012.• Financial adviser authorised for pensions, investments and life assurance.• Meeting clients and writing financial plans to meet their personally identified needs.

London, United Kingdom

•  Authorised to provide advice on individual pensions and annuities, investments, mortgages, life assurance and corporate financial planning. Responsible for arranging my own time and arranging my own appointments and invoicing fee based proposition.  Prepared all clients ‘Financial Planning Reports’ after using research tools for comparison of products.  November 2009 I was seconded to jointly set up a telephone based Client Care Unit to engage with orphan clients who rang with a cause for complaint due to the loss of their adviser following a business restructure to Wealth Management in July 2009. The Clients complaint issues were assessed with regard to any past advice and advised as to any future direction according to guidelines set by the unit/business. When redress was due then details of any losses were determined with discretion to send flowers/hampers as appropriate Prepared all clients ‘Financial Planning Reports’ after using research tools for comparison of products and recommendation of products and trusts as appropriate.  Prepared pension transfer proposals for those with personal pensions using yield calculation tools to compare pension projections for the current and proposed plans.  Utilised the AXA Elevate platform for investment funds and personal pensions.• Provided consistently high levels of customer service in order to ensure that the customers were always treated fairly and that any advice was carefully judged.• Responsible for complaints resolution for the compliance and complaints office.• Seconded into the team in the new SME business protection advice area and was responsible for writing and preparing initial meeting sheets, data capture forms and client suitability letter templates.

West Dorset - Wimborne, Swanage, Wareham

 Authorised to provide advice on individual pensions, investments and protection products  Role covered three branches in West Dorset and responsible for own and booking appointments Advised branch workers in a ‘team huddle’ to raise to raise awareness of the role of the financial adviser and improving the overall performance of the branch.  Providing training of branch staff on new products and supported them in the identification of potential sales opportunities.  Assisted business advisers in commerical sales for loans and protection.

Home Based -= Bournemouth

 Authorised to provide advice on individual pensions, investments, protection and general insurance.  Purchased an area book and provided a home service to clients. I was responsible for arranging my own time and arranging my own appointments.  Collected premiums due for policies and balanced my books and reconciled these with the business ledger.  Prepared all clients ‘Financial Planning Reports’ after using the proprietary script provided by CIS.• Top adviser for General Insurance 2004• Top Adviser for Mortgages and General Insurance 2005 • Sold book back to CIS with no loss

New Milton Hampshire

 Managed a team of 20 personnel with authority for all aspects of the purchasing, production and logistics processes Recruited to update the manufacturing capability Developed a process with a specialist company to label produce the largest label applicator product made as the standard production process label applicator systems in the markets place were not capable of meeting the minimum size required  Represented the business at nation and international business shows• I moved to the south coast to take up this position• Introduced customer focused production management and increased works efficiency through the introduction and promotion of lean manufacturing practices • Reduced stockholding costs through planned purchasing and production scheduling • Met stringent delivery targets to ensure goods were prepared for shows• Met a 3 week lead time to deliver a container of product to Newark railhead New York for a QVC television promotion• Sales account manager with accounts in the UK, across Europe and in Japan and USA• Responsible for client satisfaction and dealing with customer issues with regard to product failure leading to a complaint

Thurmaston, Leicestershire

 Joined the company as a production worker and then made a trainee manufacturing and production Engineer  After two years I became a CNC punch machine and folding press programmer. After a further 2 years in which all 3,000 manufactured components were programmed I progressed to the drawing office producing full project specifications and drawings for individual installations Next I became shop floor manager with full responsibility for meeting delivery schedules In 1988 became Manufacturing Director with duties for all areas pertaining to manufacturing  Following a difficult trading period in the early 1990’s became Company Secretary with duties for sales invoicing, purchasing and the payroll functions and retained all manufacturing duties• Successive promotions to Manufacturing Director in 1988.• Introduced a Straight through computer processing system • Developed a customer order bespoke manufacturing process.• Developed the MRP2 progressing system with a pick and select system to build product variations to control all parts and labour relevant to an individual order.

Cmi Diploma In Management, Engineering/Industrial Management, Merit

Activities and Societies: Education Representative on Leicester Branch of CIMCMI accredited management qualification incorporating.

Level 6 Financial Planning And Advi, Pension Transfers And Planning Advice, Pass

Pension Transfers and Planning Advice qualification examined at Level 6 Advanced Regulated Financial Planning

Prince2 Foundation And Practitioner Accreditation, Business/Commerce, General, Pass

Examination in the management of projects at foundation level and at practitioner level

Level 4 Diploma In Regulated Financial Planning, Ro1, Ro2, Ro3, Ro4 And Ro6, Maq (Cemap Equivalent), Pass

Passed all areas to become Diploma Level 4 qualified for financial advice.

Mba, Marketing, Operations, Business Analysis, Economics, Organisations, Finance And Production, Pass

Part-Time study course involving the study of Human Organisations, Financial Management, Sales and Marketing, Production and Operations.

Cim Diploma In Marketing, Marketing, Merit

CIM accredited course in marketing skills and practices. Passed with Merit

Foundation Level Accountancy Course, Pass

Home study course which was the first year in the CIMA study course. The course consisted of legal studies, taxation, trial book balance.

Btec - Hnc (Higher National Certificate, Mechanical And Production Engineering, Marit

Activities and Societies: 2 times winner of Metal Technology Student of the year.Metallurgy, Operations and Production Management.

Education record