Simon Thomas Email & Phone Number

United States

CH

CH

CH

Swansea, Wales, GB

UK, Australia, Spain, Chile, Poland, New Zealand, Hong Kong SAR, Türkiye, Brazil, Mexico, The US, Middle East, Ireland, Saudi Arabia And India., GB

Responsible for the delivery of Complaints Transformation as part of a company wide compliance led business change programme and ensuring a mature rating is achieved following an external audit by PWC. The role involved overseeing the programme, providing technical knowledge on all design elements and ensuring design was turned into working practice.

Responsible for managing the complaints Work stream which is part of a company wide governance review project across Central Europe. The role involved developing Aptean Respond software to work across European countries and rolling out to all employees.

Chicago, Illinois, US

Responsible for delivery of past business review projects where errors in previous processing had been identified and customers required remediation to ensure situations were corrected. The role involved defining projects into various situations and detailing remediation activities required. Recommendations were then presented to the Financial Conduct.

CH

Accountable for delivering new complaint software and completing implementation across various locations in the UK & Ireland. The role involved defining system requirements, managing software development and training of all users.

Chicago, Illinois, US

Responsible for ensuring that the complaints department was fully operational during a backlog situation and achieving targets set by senior managers. Management of training to Complaint Handlers, delivering Management Information and ensuring user performance was maintained to achieve targets set.

Leeds, England, GB

Assessed IFAs sales to ensure documentation was fully compliant and the sale was suitable in line with COBS regulations. Provided feedback both verbally and in writing in order to improve future business submissions provided by the advisers

London, GB

Past business review of sales to check for suitability. Contacted customers both verbally and in writing to obtain missing information considered necessary to determine outcome of the case. Completed complex calculations in order to work out redress due to customers where the suitability of the sale was questionable.

Leeds, England, GB

Designed and implemented process for re-writing of financial adviser’s investment and pension cases that became de-authorised when external company went into administration. Provided technical guidance on investment business to in-house pension advisers. Assessed pension adviser’s cases to ensure company standards were adhered to and TCF guidelines were.

Swindon, Wiltshire, GB

Evaluating the suitability of advice provided to customers in line with COBS regulations. Produced relevant and credible MI by ensuring systems used to record decisions was accurate and kept up to date.

GB

Work with in-house database and other systems to produce MI suite to control complaints backlog. Produced As Is and To Be process documentation to identify strengths and weaknesses in complaints process. Put together Focus groups and steering committee to ensure successful completion of the project. Developed and created procedure manual for Mortgage.

Newcastle, GB

Run my own business providing recommendations to clients on financial products suitable for their needs. Interviewed customers to identify needs, prioritised their needs and make recommendations. Compiling suitability reports with detailed comparisons and recommendations.

London, UK, GB

Developed branch staff to identify and refer customers as potential leads. Interviewed customers to identify needs in order to provide advice and sell solutions. Created suitability reports based on my findings and provided recommendations. Attended various training courses to keep up to date with regulatory news and changes.

Edinburgh, Scotland, GB

Created and delivered a marketing campaign on self-invested personal pensions to my panel of IFA’s, this resulted in an increase of £4 million. Provided IFA’s with technical product information in order that they could relay this information to their client’s. Designed and delivered presentation to teams of IFA’s to increase awareness of Standard Life.

London, London, GB

Identified and implemented new asset review process which saved Life & Pensions £ ½ Million a year. Delivered web based platform for broker’s to apply online within timescales set out and on budget. Identified area’s within annuity process to reduce time spent on each case. Facilitated meetings to produce training suite for online applications for life.

Education record

Education record