Keith M. Email & Phone Number

United Kingdom

Lydney, Gloucestershire

• Leading the ethical performance of the Company globally, drive strategic initiatives and increase awareness to ensure that ethics is instilled as a core value. • Providing thought leadership on ethics, anti-bribery and corruption and related key compliance areas. To stay informed regarding pending changes, trends and best practices and assess the potential impact of these changes on organisational processes. • Leading the compliance programme ensuring that the ethical practice and related policies and procedures are subject to a programme of continuous improvement and remain proportionate, appropriate and relevant to all staff.• Conducting and assisting with internal audit activity to ensure the adequacy of existing and current procedure and to identify any potential area of weakness.• Supporting external compliance related audit activity.• Initiating, coordinating and leading ethical audits, assessments and investigations both in the UK and overseas. • Working with senior management, Legal, HR and other stakeholders in respect of such investigations. • Preparation of management reports in respect of key compliance issues and activity.• Identifying weaknesses in ethics related practices and develop appropriate solutions to prevent and/or discover corrupt, unethical or improper conduct.• Developing the ABC and ethical training programme in respect of strategy, scope and content and to co-ordinate and deliver the programme to company employees, intermediaries and other relevant third parties.• Managing the company's whistleblowing procedure and serve as a point of contact. • Ensuring that ISO37001 (Anti-bribery Management System) accreditation is maintained.• Managing the daily operation of the company compliance programme • To manage the internal gifts and hospitality registers and sponsored travel requests.• To maintain knowledge and use of third party screening platforms.• To maintain knowledge, understanding and oversight of UK export controls.

Cardiff, United Kingdom

To support and contribute towards the company initiative to embed TCF within its corporate culture including the delivery of training and communication of relevant regulatory or process change.Review of all equity release sales for suitability and compliance with FSA regulations. Technical supervision, training and support of sales staff to ensure a thorough understanding of the companies audit function.To build and foster relationships with all stakeholders including senior management.

Newport, United Kingdom

Completion of endowment mortgage complaints, pension review, case administration and banking complaints for approximately five leading life companies (see below).In-depth understanding of FSA complaints handling rules and guidelines.Investigation of process and analysis of evidence to ensure accurate loss assessment and appropriate redress. Risk minimisation through understanding of regulatory guidelines and company process.I undertook a variety of internal placements working within and for major companies. Legal & General Endowment Complaints HandlerResolution, review and analysis of complaints relating to the mis-selling of mortgage endowments. •Abbey Senior Customer Resolutions ManagerHandling of all non-regulated banking complaints.•HBOS Pension Review Analyst Quality Analysis of existing pensions calculations and redress.•NPI Pensions AnalystAll aspects of administration – retirements, death claims, transfers and policy surrenders. •Sun Life of Canada Pension Review AnalystData analysis and loss assessment of private pension policies.

Diploma In Governance, Risk And Compliance Dip(Grc)

Bscecon, Modern History And Political Science, Hons

Activities and Societies: Politics Society Modern History and Political Science

Tasa (Trace Anti-Bribery Specialist Accreditation), Accredited

A professional accreditation for anti-bribery specialists. The certification program is provided by TRACE, an internationally recognized.

Certificate In Equity Release (Er1)

Cii Financial Planning Certificate 1,2

A Level, Accounting, Economics, History