James Emerson Email and Phone Number

Key responsibilities:• Lead a team who are responsible for reviewing the Financial Promotional literature and digital communications produced by The Openwork Partnership advisers and Support Centre to ensure compliance with FCA, ASA & Ofcom regulations in the UK.• Ensure that all websites remain fit for purpose and compliant with Financial Promotions and other regulations, as applicable.• Ensure that the content of literature is technically accurate and legally compliant, where necessary and liaising with other departments as needed• Provide technical advice and support on adherence to advertising codes and regulatory requirements, including those of the FCA• Maintain up to date knowledge of regulatory changes ensuring that rules affecting financial promotions, disclosure and conduct of business are correctly interpreted and appropriately applied.• Provide Board Committees with MI on Financial Promotion processes to demonstrate control effectiveness and ensure regulatory standards are achieved.• Ensures fully implementation of controls and governance to meet regulatory changes in respect of Financial Promotions

Management of new entrant adviser support and financial promotions approval functions.

Experienced Quality Assurance Specialist with a demonstrated history of working in the financial services. I provide training, guidance & QA function to a team of over 40 Quality Assessors, covering ICOB, MCOB and COB business. A core part of my role is to look to maximise efficiencies within the team, either by adjusting internal processes or working with other departments to improve IT infrastructure. I promote the departments brand via updates focusing on underlying quality issues, working with other areas to ensure field based staff fully understand quality requirements. I liase with other Openwork departments to ensure the quality perspective is picked up on and any risks covered. I lead a team of skilled assessors covering all lines of business, with a focus on supporting new entrant advisers. I also deputise for the Head of Advice quality in their absence.

I provide training and act as an internal audit to a team of 20 COBs assessors.I apply a holistic evaluation approach to the suitability of advice in line with COBS regulation, TCF principles and 'Outcome Based' principles. Specialising in Retirement planning, At Retirement (Drawdown and Drawdown to Drawdown), Annuities and Investments. A positive role model, with over 20 years experience in Financial Services. I'm committed to embedding the Outcome Based Principles and providing an excellent service to advisers.

Investigating and resolving complaints regarding pensions from advisers and policyholders.

Managing a project designed to increase pension business & working with an external company who would discuss options with the policyholder

Working in various positions in client services, dealing with policy information from clients, advisers and third parties.