Martin Saxon Email & Phone Number

Stockport, England, United Kingdom

SMF role covering all areas of risk and compliance at a new mortgage broker.

Macclesfield, England, United Kingdom

Carried out all regulatory tasks for a protection broker• File reviews of protection sales at a protection broker• Writing and updating compliance procedures, including financial crime, complaints, data protection, Senior Managers Regime and more• Research on industry developments via internet and trade publications, with a view to briefing colleagues as required• Drawing up risk assessment plans, looking at how likely each event is to occur, and the impact were it to occur, and considering ways of mitigating these risks• Writing articles and blogs about FCA financial services regulation• Providing face-to-face, telephone and email assistance to colleagues on compliance issues• T&C supervision of advisers• Conducting due diligence on the firm's introducers• Reviewing financial promotions

Stockport, England, United Kingdom

Writing compliance procedure manualsAdvising on implications for firms of compliance developmentsDrafting complaint final responses and FOS defence documentsDelivering compliance trainingMonitoring regulatory news developmentsCompliance file reviews

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Writing documentation for FCA authorisation applications for a lender, a credit broker and a crowdfunding firmWriting a guide to the FCA consumer credit rulebookWriting articles and blogs about FCA financial services regulation, FCA consumer credit regulation, claims management regulation and moreWriting articles on other aspects of financial services, plus sport, the arts, recruitment/employment/work life, outdoor pursuits and moreWriting web contentWriting company press releasesHomepage: www.martinsaxon.comLinks to published items:http://www.theedinburghreporter.co.uk/2013/09/metamadness-fitness-classes-go-down-a-storm-as-company-plans-further-expansion-press-release/www.scottrobert.co.uk (all articles written by me)http://cheshirewomenscl.co.ukhttp://getentrepreneurial.com/archives/should-you-run-your-business-from-home-or-get-an-office/ (this is my article, even though it was posted by someone else)http://www.kennedypearce.com/blog/ (these are mostly my articles, even though they were posted by someone else)https://crickether.com/2019/08/19/ksl-thunder-v-storm-part-of-cheshire-womens-cricket-leagues-super-sunday/

Manchester, England, United Kingdom

Stockport, United Kingdom

Reviewing of the quality and suitability of advice given by second charge mortgage advisers, and delivering feedback based on the results. Writing and updating some compliance procedures.

Macclesfield

Compliance monitoring of members of an independent financial adviser networkKey skills and experience:- File reviews- Telephone advice to members on compliance issues- Reviewing and updating procedures- Researching industry developments

Manchester, United Kingdom

Research on mergers and acquisitions and other business transactions.Key skills and experience:- Internet based research- Clear and concise written report writing

Reviewing secured loan, insurance and mortgage business to ensure compliance with company standards, FISA Code of Conduct and FSA rules and principles, prescribing corrective action where necessary Reviewing scripted telephone callsCollecting, analysing and reporting compliance management informationPreparing compliance documentation Writing and maintaining company compliance procedures, e.g. Selling Practices Guide, Training & Competence, Complaints, Money LaunderingWriting and maintaining telephone advice scriptsWriting monthly internal compliance bulletinsTraining of staff from different business areas on compliance issuesIdentifying possible fraudulent cases and offering advice to other staff on such casesPreparing the company for an ultimately successful FSA visitApproving financial promotions websitesInvestigating complaintsMonitoring regulatory developmentsNegotiating with senior management regarding compliance changes I believed were necessary. Also liaised with all areas of the business and several external bodies.I successfully managed Loanoptions.co.uk’s compliance single-handedly. I established an entire system of compliance from scratch, with little guidance, thus demonstrating my ability to work on my own initiative. Was not closely supervised, so self motivation was important. Organisational skills also very important to meet varied workload.

Compliance monitoring of members of an IFA network. One of the network’s principal contacts regarding mortgages, also monitored insurance and investment business. Became a key contact for mortgage queries within weeks of joining, despite having no previous experience of mortgage regulation or the IFA sector.

Monitoring advisers employed by a large life and pensions companyReviewing insurance, pension and investment business, to ensure compliance with company standards and FSA rules, prescribing corrective action where necessary. Regularly near the top of the department performance tables for both quantity and quality. Telephone support to company advisers on compliance issuesIdentifying and reporting possible money laundering and other fraudulent casesAllocating of new sales leads to most appropriate distribution channelOne to one training of new staffLeading a project team designing a File Assessment Form, which massively improved the efficiency of my department.Analysing management information and using it to prepare a report for senior management on the feasibility of the section adopting risk based checking

Compliance monitoring of advisers employed by a large life and pensions companyProject management and project team leadership experienceManagement information analysis and reporting

Bsc, Management Science & Mathematics

Education record