Matthew Baxter Email & Phone Number

I have built and developed the GRC team from scratch, centralising the function to enable better oversight of Battersea’s numerous and complex regulatory requirements and unique risks.I am ultimately responsible for regulatory compliance (Charity Commission, Gambling Commission, Fundraising Regulator, ICO, ADCH standards) risk management, internal audit, data protection, charity governance, health and safety, and ESG requirements. I have recruited top-class professionals to cover these areas and created a fully functional GRC framework that operates across all three-lines of defence and ensures coverage for Battersea’s wide range of activities including animal welfare, fundraising, and international grants.

London, United Kingdom

I was responsible for all compliance related matters across the business; primarily the analysis of all new legislation and regulation that affected the business, including GDPR, IDD and SM&CR.I was the corporate governance lead for the 12 group companies including: registration with the relevant regulators, regulatory reporting and permission changes, and ensuring share registers and other company books were current to help ensure smooth investment opportunities. I re-built and restructured the team from a purely administrative team into a fully fledged compliance team that monitored the entire business. I chaired the regular internal FCA Board meetings with the CEO, CFO, Commercial Director, Head of Insurance and Head of Customer Services to ensure our conduct risk was managed correctly and that systems and controls were performing for the insurance business.I played a key role in preparing for their primary investors due diligence process, leading to a successful private equity investment into the business and set the foundation for future investment rounds and company acquisitions into the group.

Manchester, United Kingdom

I managed all new processes introduced to the business; ensuring compliance with statutory and regulatory requirements, in particular, AML and KYC guidelines, before briefing teams of any changes to their current practices.I performed a gap analysis between Rentsmart's policies and procedures, and the CONC, SYSC and DISP handbooks brought about by the change in regulator to the FCA in April 2014 and began updating the compliance, collections and sales manuals to ensure that the business was ready to apply for full authorisation by the deadline set of December 2014 and began preliminary work on the approved persons applications to be sent along with the application for full authorisation.I was responsible for ensuring that the e-training platform was regularly updated with mandatory courses required for a financial services firm and issued to the staff. I then ensured they were completed and highlighted any issues regarding completion or failure to the team manager or director as required.I was responsible for all high-level customer service issues; I regularly liaised with the Financial Ombudsman Service, solicitors, and courts in order to find mutually acceptable resolutions for Rentsmart and its customers.I investigated fraudulent credit applications in conjunction with the Credit Underwriting team using the systems and tools provided by CIFAS, Experian, CreditSafe, and GB Group in order to trace and identify fraudsters.I managed the Customer Service Team, ensuring that they operated within FCA regulatory demands; primarily the Treating Customers Fairly principle and DISP, and to our own customer service policy.I was trusted by the senior management team to deliver a wide range of projects, ensuring they ran on time, to budget and that any issues were dealt with in quick and effective manner.

• Managed a headcount of 15 team members• Team responsible for all client onboarding and applications into the business• Implemented new processes and rotas to maximise efficiency• Managed the team through the recession and oversaw redundancy measures in 2009 whilst keeping the staff members motivated and their morale high

• Managed a headcount of six team members• Responsible for compliance checking all customer documents in line with AML regulations and ensuring that the call centre onboarding processes were being followed and implemented correctly• Tasked with restructuring the department and eliminating a six month backlog of work which I successfully achieved within four months.

Manchester

Blackpool, United Kingdom

• Managed a headcount of 6 Graphic Designers• Proof reading of the design studio's output prior to printing• Responsible for ensuring that all studio work was printed in a timely fashion

Blackpool, United Kingdom

• Design and creation of advertising to be published in take-away menus

Blackpool, United Kingdom

• Filing• Sorting mail• Research into new areas of interest for the buiness