Rob Scott Email & Phone Number

Worldwide, Oo

Worldwide, Oo

Worldwide, Oo

Worldwide, Oo

London, Gb

Manage the Compliance & Risk function ensuring regulatory compliance. Create, implement and embed a Fund wide risk based Compliance Monitoring Programme. To lead, manage and develop staff within the Compliance & Risk Team. To deputise for the Head of Governance.The WMPF is a member of the Local Government Pension Scheme (LGPS) and is valued at over £9.5bn and serves over 255,000 members across the West Midlands region.

• Produce and embed a compliance monitoring framework for the West Midlands Pension Fund's Administration and Member Services function. • Create and implement a performance management programme to monitor and report the Funds achievements against its objectives. • Act as the Fund's point of contact for none investment related compliance issues. • Lead with the completion of compliance monitoring of external investment fund managers.

Wolverhampton, West Midlands, Gb

I undertook a wide range of risk based audits from initial scoping of assignment to communication of findings and agreement of action plan with minimal supervision. I was tasked with the completion of Operational and Financial audits including Systems Based Audits, Establishment Audits, Fraud Investigations, Follow Up and Value for Money reviews and the undertaking of Consultancy assignments and Contract audits. I worked to strict time budgets both in relation to the number of hours spent and the deadlines for reports to be issued.I produced high quality audit reports adhering to the organisations internal audit standards for presenting to Senior Managers and elected members.I assisted in the personal development of the Internal Audit Apprentice by overseeing certain aspects of their work and by providing a sounding board and providing advice and assistance where necessary.

Gb

I was tasked with the completion of Compliance Monitoring Reviews across both the Mortgage and Savings businesses, ensuring compliance with various legislation such as Data Protection Act 1998, Anti Money Laundering Regulations 2000, the Mortgage Conduct of Business rules and other regulations prescribed by the Financial Services Authority (FSA). All reviews I was given had to be completed within pre-determined time scales which were often scheduled around reporting requirements with any failure in meeting deadlines potentially leading to serious consequences both for the organisation as a whole and to the reputation of the team.I was involved in completing the quarterly risk assessments where that quarters areas for review were identified and the work was allocated to individual officers to complete.

Gb

I provided assistance and advice to the organisation on Compliance issues such as Data Protection, Freedom of Information, Mortgage Regulations and Powers of Attorney.I produced detailed procedures to show colleagues how to use a newly introduced system which carried out data matching of our entire customer base against a list of Politically Exposed Persons (PEP's) and Terrorists.I was required to approve adverts for Savings Accounts ensuring compliance with the requirements of the Advertising Standards Agency (ASA) and the British Bankers’ Association Code of Conduct for the advertising of interest baring accounts.I acted as the compliance representative on a number of organisation wide projects.Whilst in this role I was a member of the Fund Raising Team which raised over £200,000 and were awarded a special achievement award from the HBOS Foundation for our fundraising efforts.

Gb

This was a predominantly administrative role in which I tasked with the processing and issuing of mortgage offers to mortgage customers.This role started as a part time evening job whilst completing my A-Levels and I worked full time for a summer before leaving to study full time at University.

Master Of Science (Ms), Risk Management

Post Graduate Diploma With Commendation, Audit Management & Consultancy

Chartered Institute Of Internal Auditors (Ciia), Advanced Diploma In Internal Auditing And Management (Cmiia)

Post Graduation Diploma, Compliance

Certificate In Mortgage Advice And Practice (Cemap)

Llb Hons, Law