The main focus of the role is to complete oversight and monitoring in line with the annual monitoring plan, ensuring compliance with regulatory requirements.Assist with the development of a risk based monitoring plan.Complete due diligence of the proposed Investment managers for new fund launches.Complete oversight reviews of external Investment Managers, using desk-based methods and site visits. Take lead, plan, carryout, report, make recommendations, build relationships and monitor agreed actions.Advise on best industry practice. Review and develop policy, procedure and process. Assess eligibility of investments for funds.Monitoring of the compliance of COLL Investment and Borrowing Limits in portfolios, investigating and recording potential/breaches.Complete monitoring of internal departments such as Transfer Agency and Finance (CASS). Provide compliance and best practice advice to all department within Fund Partners Ltd

Business assurance monitoring, gap analysis and reporting for new business, arrears management, and post sales teams, identifying risk and agreeing action plans.Provision of a Compliance Advice service for all compliance or best practice queries for all business areas.Subject Matter Expert for TCF and Complaint handling. Successfully leading the improvement of complaints identification, quality resolutions, best practice and reporting.Group member for Corporate Governance of 3rd party due diligence, participating in gap analysis and monitoring of ongoing compliance. Developed and roll out local training and coaching for complaint handlers.Delivered DPA presentation and coaching for induction course.Focus on SYSC, MCOB, DISP, DPA.

Day to day Complaint resolution within FSA DISP rules.Complaint identification and resolution guidance and coaching to the business, reducing the number of reportable complaints.Introduced root cause analysis of complaint data for business improvement. Small business commercial Insurance compliance aligned with ICOBs and DISP.

Retail Insurance Introduced the FSA guidance for Treating Customers Fairly principles into all processes and procedures as per contract.Produced Compliant Business Procedures in line with DISP.Monitored Complaints and advised on root cause.Completed the compliance sign off of for Financial Promotion

1st & 2nd Line Compliance. Subject Matter Expert for Sales staff T&C Monitoring, compliance sign off of compliance monitoring systems and financial promotions.Sales Support business migration planning, co-ordination and implementation, including the development of new working practices, systems and procedures. Managing a team of 8 individuals, responsible for their day-to-day activity and continued personal development.Identified and implemented Management Information reports and analysis for Sales Management, Division and Board continually reviewing following feedback and business changes.Identified and implemented Support requirement to Field Staff. Overseeing the supply of administration for the field sales staff to enable them to achieve sales targets while maintaining compliance with Society policy and Regulations.Responsible for the delivery of support to the Divisional Sales Managers to enable the continual compliance and competence of field staff. Instrumental in the development of effective Key Performance Indicators (KPIs) for Sales staff, continually reviewing and analysing their effectiveness. Responsible for the maintenance and development of the T&C monitoring system ensuring the compliance to the company T&C scheme and FSA regulations.Responsible for FSA & Internal Auditable working practises and procedures within the operational teamBuilt strong relationships between internal and external suppliers.Built strong working relationships with IT project management, project sponsors and Sales force to enable new system implementation within budget and schedule.Successful project management of enhancement development to T&C Monitoring systems, delivered on time and within budget.