Peter Berg Email & Phone Number

Leeds, England, United Kingdom

Manchester, United Kingdom

• Compliance Monitoring Officer (Contract) – Co-op Insurance October 2016 to June 2017This role within Co-op Insurance was initially on a six month contract, which was extended to nine. My duties whilst working at Co-op.
• Motor and home claims handling
• Motor and home insurance sales
• Product Add-ons review
• Vulnerable customer review
• Supplier complaint handling

Leeds

My most recent role was with the Yorkshire Building Society Group in the compliance monitoring function.The role was primarily concerned with the development of and fulfilment of the compliance monitoring programme and identifying control weaknesses and highlighting these risks to the business.The monitoring programme was a rolling twelve month audit.

My role with Sesame Bankhall Group was primarily reviewing adviser business, namely the following types of businessPension switchesProtectionMortgagesEquity ReleaseInvestment businessRetirement options (Drawdown / Annuities Etc)Customer due diligence checksIn this role I assessed the suitability of advice provided by network appointed representatives.

As a field compliance officer, my main role was to ensure that suitable controls were in place within the regulated sales channels in order to mitigate regulatory risks to Aviva through the advice provided by its financial advisers.Various testing tools were used through audits, including;Field visitsSales file auditsSupervisor and sales management.