Rachael Ledbrook Email & Phone Number

Leeds, England, United Kingdom

Managing the Authorisations team while the business goes through significant change Vetting Appointed Representative and Registered Individual applications Enabling internal movements whilst maintaining relationships with key stakeholdersEstablishing strong relationships with key individuals and teams Key Management Information provided in an easily accessible format to all stakeholdersEnsure a smooth transition of Financial Advisers to exit the networkReporting directly to the Tenet board on issues and highlighting/escalating delays when necessaryCompiling a large volume of vetting packs in preparation of AR movements, reviewing KPIs and writing regulated references while ensuring external stakeholders are aware of any potential conduct issues

Horsforth

One of my main roles is investigating competency & conduct issues with financial advisers (RIs), issuing support plans using SMART principles and ensuring FCA and firm policies are followed and clients are in an informed position including redress where applicable. Completing observations of financial advisers either with a client or via roleplay as required.Deep dive investigations into advisers on-going servicing ensuring FCA guidelines are met.Managing my own workload effectively, providing detailed reports and recomendations. Support and training of Training & Competence internal staff and their day to day role. Training & Competence reviews for financial advisers (RIs) and firm (AR) reviews as per the Training & Competence scheme and FCA guidelines.I design and maintain a Hot Topics document which is used for both advisers and staff for CPD and guidance on recent changes they need to be aware of.In addition to the above I provide technology support training and guidance on newly implemented systems (Zoho). I am the main super user and point of contact for the roll out of new internal CRM technology systems which are constantly evolving. I often request amends and recommend changes and work closely with the team so that we can improve the system.

Leeds, United Kingdom

Looking after a number of advisers from a Training & Competence perspective, drafting 121 documentation, analysing KPIs and other information as needed. Providing support to advisers via additional training and support plans. Completing observations of financial advisers either with a client or via roleplay as required.Ensuring competence in giving regulated financial advice is achieved and maintained as per the T&C scheme and FCA guidance.I also provide ongoing support to the advisers including elements of account management and general queries.A key member of the team to help implement Intelligent Office into the business via a 4 month secondment to a newly created helpdesk for members. I would complete 1 on 1 training with firms who were struggling and also had to learn the system quickly. I provide training to the team on new Zoho technology and written easy to follow guides.

Leeds, United Kingdom

Supervising the Customer Care and Investigations team. My role was to deal with any failed advice events and ensure clients are treated fairly (with redress if applicable). I also investigated the networks firms/individuals who may have breached Tenet/FCA rules. This involves a deep dive into their background via MI/KPIs and face to face or virtual interviews. I then would make a recommendation on what actions need to happen as a result of the investigation.Day to day management of workload and prioritisation of the most important investigations was an important part of this role.I also produced MI and ensure standard levels were met.

Leeds, United Kingdom

Managing the day to day running of the Authorisations team including staff 121s/appraisals. Ensuring registered individual/firm applications and other admin tasks are allocated to the team and dealt with in a timely manner/accurately. I also ensured that the applications meet Tenet/FCA standards. The team also dealt with exits from the networks including novations which work to short timescales.Dealing with queries and changes to processes and also dealing with team members 121's and Team Meetings.

Leeds, United Kingdom

Processing authorisation applications for registered individuals/firms applying to join the network. Ensuring the advisers met firm and FCA requirements regarding fit and proper. Dealing with resignations for registered individuals/firms exiting the network and various other admin processes such as change of details/status. Ensuring FCA standards are met at all times and escalating any issues to management.Attention to detail and forward thinking were key for this role and also the ability to manage your own workload.

Leeds, United Kingdom

My main duties were to provide administrative support to the Authorisations consultants, complete administrive tasks and deal with various telephone queries from financial advisers as required.I also helped to improve tasks and streamlined processes.

Horsforth

My main duties were to provide dedicated administrative support in the processing and follow up to completion of mortgage and life insurance applications for our mortgage consultants.I was the point of contact for mortgage lenders, clients and mortgage consultants during the processing period of applications.This role ended due to redundancy.

Sunderland, United Kingdom

My main duties included maintenance of many different types of business accounts ranging from small to large multinational companies and producing statements for the companies accounts as required.This role ended due to relocation.

Sunderland, United Kingdom

A member of the mortgage decision telephone team where duties included updating mortgage applications, dealing with different types of customers and providing mortgage decisions in principle in real time.