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.

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.

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.

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.

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.

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.

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.