Paul Margetts Email and Phone Number

I am responsible for carrying out audits of 3rd party companies who are licencing data from our client companies, which include some of the largest data management companies in the country. After the audit targets being identified I manage this process end to end on behalf of our clients, from initial arranging the audit, reviewing all licence and contractural obligations in place, carrying out the audit against these requirements, writing up a detailed report and providing this feedback with all issues back to the client in a way that they can clear identify any risks that have been identified and that need to be addressed.Key elements of my role are the flexibility of at any given moment working for different clients with different requirements and expectations of their customers, and still managing to deliver a consistent high quality output. Also fundamental is my communication and influencing skills to ensure audits are arranged in the required timescales and that they can be completed effectively and with engagement from the auditee while still permitting myself to get to the required level of detail and evidence to provide adequate assurance to our clients. Another key requirement of this role is my knowledge of data protection law and information security principles which allow me to properly drill down into how the auditees are managing the data they have been licenced and to ensure I can identify any risks that may reflect back on our clients resulting from this.A side element of my role is also the provision of GDPR consultancy services to some of DQMs customers, involving completing overall assessments of a company's position in relation to GDPR compliance and helping them to identify the priority areas to form a GDPR improvement action plan.

I have responsibility for the day to day management of the Audit & Compliance (A&C) Department and the overall Compliance Program, supporting the business to achieve compliance with all relevant rules, regulations, policies and directives. This involves working with all areas of the business to identify current compliance risks, and to look ahead at future industry or business changes that may also impact us. A&C then engage with business owners of these risks to drive action plans and corrective action to help mitigate these risks down to acceptable levels. These risks and requirements fall into 3 main areas:1) UK industry regulations2) All Group level compliance programs including Anti Bribery and Corruption and GDPR3) Financial Control activity including all activity related to our SOX obligationsThe corrective action work involves reviewing policies and processes, providing guidance, training and support and implementing new controls and processes. I also lead the monitoring and audit activities of the department, focussed as a 2nd line of defence function, to monitor and track our compliance, and identify risks and issues for investigation. These checks then feed into regular reporting to business owners and senior management to help drive improvement actions and ensure risks are understood.A key element of this work are the measures to develop and enhance a culture of ethical and compliance focus, and this takes up as large amount of myself and my teams time. My role also involves liaison and management of issues with external stakeholders including Ofgem, industry bodies and external auditors, the development and roll out of new products, the embedding of a culture of fair treatment for customers, the management of 3rd party compliance risks, and the monitoring of future regulatory and industry changes that may impact on the company. I also manage our Office Services Team including the management of all company travel and our HS&E Management Program.

I was responsible in this role for all compliance matters related to the Direct Sales activities of Salmat, including compliance with consumer and privacy laws, state based regulations, industry codes, as well as internal policies and processes. My team and I acted as a source of advice and guidance for all levels of staff and management, identified potential compliance risks and implemented new training, processes, procedures, controls, reporting and systems to remediate these risks, always focussing on developing a culture of compliance that would enable the business to grow in a sustainable way, free from regulatory attention.When I started the role was new and the company only had a basic compliance program set up. I therefore focussed my time in two main areas, firstly working to understand where the risks and issues existed in our processes and activities, and to implement new measures to address these. This involved engaging with all levels of the business, identifying the correct solutions that would deliver compliance and support sales, and delivering these changes in an effective manner. Secondly and more challenging was to change the perception and culture of the company and to ensure that compliance was recognised as the no 1 business priority. This involved working with the whole department in different ways to help them recognise the importance of compliance, why it was relevant and how they could contribute to achieving the required aims.Other aspects of this role included representing the company on industry bodies and working groups, managing internal and external audits and all resulting action plans. The yearly industry group audit carried out in late 2013 actually identified Salmat as an industry leader in compliance.My proudest professional achievement in this role where at the end of 2013 I received the company Operations Award as recognition of my impact and achievement in the role, and the distance we had moved since I had started..

My role included responsibility for managing compliance issues across the retail and wholesale AGL business. I was responsible for managing and developing the company compliance register ensuring all compliance issues within the business are identified, tracked and remediated to a satisfactory position. I managed internal and external audits, including a ESC audit in Victoria, ensuring the business was prepared, the audit is facilitated and the outcome in managed for the benefit of the business. I was also responsible for producing the company regulatory reporting for the different regulatory jurisdictions that AGL operates in. It was my role to liaise with all levels of management to resolve compliance issues and work to develop a proactive compliance culture.During this role I initiated new compliance tracking tools to proactively identify compliance issues, developed the compliance recording system to enable more effective monitoring and reporting of compliance issues, taken a key role in the project team working on NECF integration, and carried out audits and training to improve compliance understanding in the business. This has been at the same time as building a core understanding of the regulatory regimes that exist in Australia, and the electricity industry in general.

I was responsible for all regulatory compliance and reporting across the Back Office department, and for ensuring Back Office and all associated departments across the company had the necessary controls in place to ensure compliance against a number of different regulatory measures, including how general queries, complaints and compensation were managed and processed. It was my responsibility to put in place the measures to ensure I could produce the company’s regulatory reporting with high confidence that the outputs were reliable, accurate, and complete, and that performance against these measures improved over time. I also had responsibility for dealing with escalated customer complaints and put in place key measures to improve customer service, including reducing response turnaround times for customers, and proactive calls in response to complaints. My role extended across the company engaging at all levels to ensure full compliance, and to promote a culture that emphasised compliance operating hand in hand with customer service. Myself and the team of analysts I managed carried out training and audits and put in place systems, process improvements, and a new performance reporting suite to ensure agents could operate in a more efficient and controlled way. We also tracked all customer service and compliance failings across the company in order to implement corrective action and develop a lessons learned culture. I regularly managed the whole department, providing leadership and guidance to the departmental Team Managers on ensuring the delivery of excellent, compliant, customer service that increased our customers satisfaction. My role also had an external facing element with regular interaction with our key regulators and stakeholders, including Ofwat and the Consumer Council for Water, regarding processes, compliance and auditing. Within this role I operated within the water and energy sectors.

I was responsible for developing new policies and procedures to deal with emerging issues and challenges for the company, including developing investment strategies for the regulatory price determination and ensuring they were focussed towards delivering improved customer service.

I managed operational trade effluent issues, including providing one to one customer service, for our large commercial customers who wanted to discharge effluent to the wastewater network. I took the role of regulator, agreeing discharge conditions and then monitoring compliance and taking enforcement action where our assets were put at risk. I worked hard to develop close relationships with these commercial customers to help in resolving issues that would affect our assets while working to deliver an excellent standard of personal customer service. The role gave me a unique insight into the viewpoint of a regulatory body.

I led the development of long term holistic plans for the management of the company’s asset base and its investment planning. This fed into my role in coordinating the needs stage of investment projects in my planning area and then proposing a customer focussed solution to be taken forward for investigation, presenting this work for approval and then obtaining the financial sanction for the project to be developed.

Five placements across the business including: Developing a strategy to challenge regulatory charge increases to ensure customer value for money; Reporting on the delivery of the capital investment programme; Managing the delivery of a new project management IT system.