Stuart Powell Email & Phone Number

Aylesbury, Gb

Potter Bar

Responsible for ensuring Canada Life’s Enterprise Risk Management Framework is embedded across the Wealth division and that regulatory risks and obligations are effectively managed. Key responsibilities include:• Ensuring the Wealth business strategy is within risk appetite.• Providing the Wealth business with expert and value-adding risk and compliance advice in a business focused and pragmatic way.• Facilitating effective and appropriate risk management and compliance processes and MI.• Encouraging an appropriate risk culture, delivering good outcomes for our customers within risk appetite.• Promoting 1st Line Risk ownership and accountability. • Facilitating an effective and balanced relationship with the 2nd Line Risk and Compliance oversight function.• Maintaining awareness of the regulatory context surrounding the Wealth strategy and its customers to advise on potential non-financial and regulatory compliance risk, including risks to customer outcomes.• Providing in-depth business insight to support the Wealth Business on all risk related matters, including regulatory. Providing robust challenge and making a ‘value add’ contribution.• Supporting the Wealth business leadership team and helping to develop and maintain an effective risk and control environment. Including leading an effective governance and reporting regime. • Building and sustaining a business culture that helps identify measure, monitor and report risk, including regulatory risk, and our consumer duty obligations. • Providing monitoring and reporting on risks to objectives, regulatory compliance and customer outcomes linking in with other Canada Life UK and Group functions.

Potters Bar

Acting as a strategic business partner responsible for leading a team of Compliance professionals to deliver risk based, business and customer focussed support that delivers pragmatic, consistent and technically accurate regulatory advice to the business areas and shared service functions, balancing the delivery of strong regulatory compliance with commercial implementation.Responsibilities include:• Planning and managing the delivery of business support activities through the management and leadership of a team of compliance professionals, assessing the demand, regulatory risk and business benefit of the support required and apportioning resource appropriately• Engaging with the Executive, and 1st Line Compliance resources, to provide oversight of regulatory risk within their business areas, highlighting risks and issues• Supporting the Director of Compliance & Regulatory Affairs in engagement and interactions with the FCA/PRA in respect of Conduct and Regulatory matters• Provision of SM&CR subject matter expertise to Company Secretary, Human Resources, Senior/Executive Management and Board members and ongoing oversight to support effective implementation across the UK regulated entities including maintenance of the Responsibilities Maps• Leading and participating in setting the strategic direction of Conduct Risk Framework and oversee the further embedding of the framework, acting as subject matter expert• Delegated ownership for the Conduct Risk Operating Policy and the Conflicts of Interest Operating Policy responsible for ensuring completion of annual policy attestation and associated remediation and providing guidance to the business on policy and the supporting standard requirements• Producing and presenting insightful and regular reporting on Conduct and regulatory risks, issues and developments to executive management, management committees, the Board and committees of the Board as required

Potters Bar

Responsible for:• Leading the development and implementation of a comprehensive Conduct Risk Framework throughout the UK Division• Providing subject matter expertise on Conduct Risk matters• Ensuring key business stakeholders are identified and proactively managed• Providing robust and timely reporting to the Customer Outcomes Steering Committee on progress in developing and implementing the Conduct Risk Framework• Developing and implementing Polices, Processes and Guidelines to support effective Conduct Risk Management• Designing and delivering Conduct Risk training• Business lead and SME for the implementation of the Senior Managers & Certification Regime (SM&CR)

Wilmslow

Responsible for:1) Supporting and challenging the Consumer business in the identification, measurement, management, monitoring and reporting of risk, including Control Risk Self Assessment (CRSA) and Policy Self Assessment2) Representing the 1st line Consumer Risk team on various key projects & committees3) Co-ordinating the production of 1st line risk reports for various key risk committees

Wilmslow

Responsible for:1) Carrying out assurance reviews of documentation to ensure compliance with the Solvency II Pillar 2 requirements2) Reporting findings and recommendations for improvements from the assurance reviews to business / executive management and appropriate governance committees / fora3) Develop and maintain key stakeholder relationships.

Manchester, United Kingdom

Responsible for:1) Leading and managing the development & implementation of a refreshed Conduct Risk Strategy, Framework and Plan2) Providing subject matter expertise on Conduct Risk matters3) Ensuring key business stakeholders are identified and proactively managed4) Providing robust and timely reporting to the Conduct Risk Steering Committee on progress in developing and implementing the Conduct Risk Strategy, Framework and Plan

Manchester, United Kingdom

Responsible for:1) Managing the embedding of the Co-operative General Insurance Risk Management Framework and being the central point for on-going first line risk governance2) Leading the oversight of, and challenge to the business units within the Co-operative General Insurance to ensure they are operating within appropriate governance and risk management frameworks and are delivering against business targets within risk appetite3) Ensuring robust & timely plans are in place to address internal audit and regulatory monitoring actions and that the requirements of the regulator are met and attested to as appropriate4) Being accountable for Co-operative General Insurance Board and Executive reporting processes and to lead the Co-operative General Insurance governance framework

Staines

Responsible for providing leadership and direction to the Governance, Risk and Compliance agenda across Bupa Health and Wellbeing UK to ensure good corporate governance practice is designed and operated in a controlled manner and that activities & behaviours are ethical, transparent and meet regulatory requirements - This invloves:1) Providing sound technical advice and guidance to the business to ensure that Bupa Policy and external regulations (ie FCA) are incorporated in to business operations;2) Supporting the business in ensuring customer and corporate data is adequately protected across business processes and systems in line with legal and regulatory requirements;3) Managing the BHW Risk Management and Governance Framework ensuring that a coordinated and consistent approach to Risk Management is embedded within the business;4) Managing the Financial Crime strategy ensuring that a fit for purpose framework is in place to reduce the risk of financial crime exposure across the business;5) Providing independent assurance to BHW Executive Management and the Board that robust systems of controls are in place, policies are being followed and correct customer outcomes are being achieved in line with legal and regulatory requirements.

Staines

Responsibile for:1) Leading and managing the Group Technology & Information Services (GTIS) Risk & Governance team providing assurance to the Executive and the Board that a sound, robust fit for purpose risk & governance framework exists across GTIS related activities across Bupa and is operated effectively by management2) Understanding the regulatory and legislative environment in which IT related processes, systems and projects operate globally across Bupa and ensure that best practice governance arrangement are in place that ensure compliance with these requirements3) Driving the Information Security agenda across Bupa on a global basis ensuring compliance with appropriate policy, regulation, legislation and industry best practice

London, United Kingdom

Responsible for:1) Providing business & technical support to business units on the requirements of section 404 of the Sarbanes - Oxley act, particularly in relation to the methodology and approach used by LTSB;2) Providing independent challenge to the adequacy, quality and consistency of the work preformed by business units in support of management's assessment of the effectiveness of internal control over financial reporting

London, United Kingdom

Responsible for:1) Leading reviews to assess the adequacy of risk and governance arrangements in major business units across the Group, involving discussions at Managing Director level;2) Providing consultancy and technical expertise to specialised risk reviews.

London, United Kingdom

Responsible for:1) Leading project and programme reviews / audits of major strategic Groupwide change initiatives, predominantly across the UK Retail Banking & Wholesale businesses and central Group IT & Operations support areas, providing risk and technical consultancy;2) Assist in reviews to assess the adequacy of risk and governance arrangements in major business units across the Bupa Group.

London, United Kingdom

Responsible for:1) Leading business and IT related operational audits of Head Office departments, support functions, subsidiary companies, processes, products and outsourced operations, producing and presenting recommendations for business improvements;2) Leading special investigations into internal frauds, disclosures etc.