Jason Morris Mica Email & Phone Number

Coventry, Gb

United Kingdom

Sutton Coldfield, Uk

To identify and maintain awareness of developments in industry, law, regulation and best practise across Compliance, AML and Financial Crime Prevention.Practical development (research, design, writing) of ICT courses, including workshops, manuals, support materials and web presentations.Ensure appropriate sections of the websites and learning platforms remain up to date with contemporary case studies and issues.Engage in practitioner research, new course development and other business development activity.Provide subject matter and technical support to central departments.Contribute to the ICT Social Media proposition.

Birmingham, Uk

Undertake and deliver risk-based compliance monitoring reviews across all functions within the Group, including those outsourced offshore in India, ensuring that where issues and risks are identified that these are reported accurately and escalated where necessary.Responsible for ensuring all actions from reviews are recorded appropriately and tracked to resolution.Monitor and update the risk universe, ensuring an accurate measure of the level of risk that exists within each of the retained and outsourced functions is maintained. The risk universe is used as the main driver in developing the content of the Annual Monitoring Plan. Carry out planning activity for designated reviews in accordance with the Annual Monitoring Plan.Complete effectiveness reviews of Outsource Service Providers to demonstrate the level to which their outputs can be relied upon by the Group, and to help identify areas where more focused reviews may be necessary.Produce detailed reports for the attention of relevant stakeholders and senior management, and to inform the Board of relevant regulatory risks that impact the business. Assist in promoting a compliant culture across the organisation.

Leamington Spa

Responsible for the Mortgage, Protection and General Insurance sales within the firm.Regular meetings with new and existing clients to review financial situation.Research the market for suitable products to meet client needs.Regular contact with Lenders and Providers to manage the processing of cases.Meeting regularly with Lender and Provider BDM’s to ensure product and systems knowledge is up to date.Maintain a high level of regulatory knowledge to ensure business is compliant.Regularly attend training courses to expand knowledge base.

Solihull

Responsible for evaluating the compliance procedures and functions of all authorised firms within the Network in accordance with UK regulatory requirements across all business areas, including Pensions, Investments, Mortgages, Protection, General Insurance and PMI.Monitor standards and targets within the authorised firms, in line with the Network’s compliance procedures.Carry out at least 3 Risk Assessment visits per week across the UK.Manage the planning and preparation of all site visits, including liaising with authorised firms and gaining sufficient pre-visit records.Undertake a full and precise audit of all authorised firms records and processes, in accordance with the Network’s compliance procedures, to identify the issues and risks that exist therein.Undertake the preparation of a formal report on the findings at each assessment visit, providing positive feedback to ensure that the authorised firms are adhering to compliance procedures, and that overall Network standards are improved.Communicate and discuss any changes in legislation and regulation to authorised firms at the site visits in order to promote a compliant culture within the Network’s membership.Ensure that sufficient records are maintained for all site visits.Retain in-depth knowledge of the PTFS compliance and T&C procedures.Ensure all firms are aware of TCF and its impact on their business practices.

Midlands

Coventry, United Kingdom

Royal Navy

Ica Diploma In Anti Money Laundering

Ica Diploma In Compliance

Education record

Financial Planning Certificate 1&2 CF6 CF7 HR1

Business Studies

Education record