Responsible for aligning the SJP Partnership & Field Management Team (FMT) to corporate strategy. Serving as the primary contact and representative in all corporate strategy definition and evolution, sensitive projects and change programmes, and collaborating with cross-functional teams to represent the interests and advocate on behalf of the Partnership & FMT in decision-making and policy changes. Additionally leading SJP’s Partnership Consultation to understand and interpret Partnership need and sentiment, and design and implementation of FMT business plans in line with the Group’s strategy, stated risk appetite and in support of fair and strong outcomes for clients, shareholders, regulators and employees.

• Responsible for the FCA supervisory relationship.• Managing a Team of Compliance professionals providing support/guidance on SMCR, FCA regulations and advice related issues.• Advising and reporting to Risk Committee and Boards.• Member of distribution focused steering groups and committees providing advice on AR remuneration, vulnerable clients, defined benefit advice, generic financial advice and advice risk.• Providing advice and support to key projects including Consumer Duty, AR oversight, ongoing suitability & advice, British Steel redress scheme and governance review.• Maintaining the SMCR framework including MRMs, SMF applications/handovers and SoRs.

I head up the Compliance Monitoring second line team which is part of the Group Risk and Compliance function. I am responsible for:- designing the annual compliance monitoring plan and presenting it to the Board Risk Committee for sign-off- presenting plan progress and challenges to executive and non-executive directors- providing compliance input to committees including Vulnerable Customers Steering Group, Group Risk Executive, Board Risk Committee, Board Risk Committee, Defined Benefit Governance Committee and Partner Incentives and remuneration committee.- discussing monitoring review findings and actions with directors and senior managers within the business- maintaining the relationship with our co-sourcing Partner (Deloitte)- maintaining a close working relationship with Group Internal Audit- providing compliance expertise to SJP business units on an ad-hoc basis- identifying potential conduct risks to the business

Non-executive Director, Board Member, Consumer Duty Champion and Chair of the Risk Committee

Responsibility for Advisory Compliance for the Financial Planning and Wealth Management businesses of Sanlam in the UK. This included membership of the EXCO and Boards. My team supported the business strategy and provided regulatory guidance and expertise to the businesses.For the last year of my role I ran the 150 AR Network purchased by Sanlam (previously Financial Limited) and held the SMF16 position.

As Head of Compliance I held the CF10 and CF11 controlled functions and ran the Compliance and T&C teams. I was also a permanent member of the Distribution EXCO that was responsible for running Sanlam Wealth Planning. As a member of the EXCO I was heavily involved in the business strategy including proposition development, recruitment, marketing and adviser development. This position allowed me to make full use of my previous experience of running an advisory firm, providing regulatory consulting and my understanding of marketing through my MA in Marketing.My primary focus was to establish a Compliance framework that supported the Sanlam UK Group strategy for expanding distribution by increasing the number of Financial advisers through a combination of organic growth and acquisition.

Providing Regulatory and Performance Improvement Consulting to the Financial Services Industry.Assisting clients across a diverse range of industry issues where the regulatory landscape is constantly changing including S166 reviews.Providing advice on sector issues including RDR, MMR, wealth management and complaint handling (including management information and root cause analysis).As a Principal Consultant at Huntswood I have completed the following projects:- two s166 reviews of wealth management firms- an audit of a number of firms within a national mortgage club- a governance review of a large building society- assisting a large wealth management provider in setting up a new national restricted advice proposition

Offering Direct to consumer Investment and Pensions ServicesSetting up RDR compliant Advisory ServicesDeveloping new online business opportunities

Main Duties: · Recruiting Financial Advisers in South Wales and along M4 corridor · Managing the implementation process of new recruits · Understanding and interpreting Financial Services market changes

Main Duties: · Setting up and running the business in a highly regulated environment · Delivering a profitable, compliant business · Defining a successful corporate strategy & refining strategy to comply with impending regulatory and market changes · Building strategic partnerships with Business Introducers, Product Providers and Fund Management Groups · Expanding the business with limited capital investment · Preparation, delivery and monitoring of annual budget · Recruitment and development of Sales Advisers and Administration staff · Implementation of technology to aid customer focus and improve efficiency · Business marketing and advertising including lead generation · Sales management and associated training · Developing profitable new business services · Advising high net-worth clients · CAS status including advising on complicated transactions such as occupational pension transfers · Running a Board of Directors · Designing and implementing services and procedures to `treat customers fairly' · As at 10/08 this business had a turnover of £3m and profits of £150,000, employing 21 Sales Advisers and 13 Administration staff · Gaining the prestigious `Chartered Status' for the firm

Main Duties: · Management of 12 individuals responsible for monitoring high-risk business conducted by the Network Members · Product and fund Research · Providing Technical advice and assistance to Network Members · Developing Suitability Letter Template system · Devising and implementing a risk based Compliance monitoring system · Providing training, leadership & support to team members · Dealing with Regulatory visits through to completion · Developing new strategic services for the Network · Overall responsibility for the `Advice process' · Updating Compliance Manual and advice procedures to reflect Regulatory changes · Liasing with Professional Indemnity Insurance brokers prior to renewal · Promoting a compliance culture within Network · Led Network WRAP project to fully understand the WRAP and platform opportunities within the market · Reporting to the PLC Board

Main Duties: · Supervise 17 financial planning consultants in Bristol and Plymouth · Conduct observed calls and facilitate quarterly T&C meetings · Provide training & support to develop consultants and admin staff · Recruitment of Financial Advisers · Identify, monitor and remedy trends in key performance indicators · Compliance Auditing · Management of Product licensing · Increasing Sales in conjunction

Main duties:· Complaint handling· Financial Promotions· FSA Visits and associated documentation· Training and Competence· Compliance Auditing· Providing technical help to sales force· CAS status & Pension Transfer Specialist (CF21 & CF24 registered)· Compliance Team Management· Planning, developing and writing internal sales forms and procedures