Stephen Green Email & Phone Number

Belfast, Gb

Belfast, Northern Ireland, United Kingdom

Belfast

As Head of Compliance for Northern Provident Group, I have overall responsibility for the management of both the 2nd and 3rd Lines of Defence within the Group. I am the subject matter expert on all aspects of risk and compliance including FCA, Data Protection, Financial Crime and other statutory legal regulations. I am also charged with providing technical compliance advice to the Board on all regulatory and legislative matters.

Belfast, United Kingdom

As Head of Compliance and Corporate Governance for Aperture, I am responsible for management of both the 2nd and 3rd Lines of Defence. I am the subject matter expert on all aspects of risk and compliance including FCA, Data Protection, Financial Crime and other statutory legal regulations. I am also charged with providing technical compliance advice to the Board on all regulatory and legislative matters as well as supporting the Board in its implementation, review and approval of Aperture’s risk governance framework (i.e. Aperture’s risk culture, risk appetite and risk limits).

Belfast, United Kingdom

• Senior Compliance Manager of the Sprout Group. Sprout is a new and fresh online alternative to high street banking, offering our customers a different way to manage their finances. Sprout is inspired by our passion to offer our customers fair, affordable and appropriate credit. We understand that people may have had financial difficulties in the past and don't believe this should prevent them accessing the financial products and services they require to achieve financial stability.• As Senior Compliance Manager and Money-Laundering Reporting Officer, I have overall responsibility for ensuring compliance of regulatory rules and internal policies and money laundering reporting. As a start up company, it has been my responsibility to write the compliance manual as well as prepare and implement the Compliance Monitoring Program for the Group. This will ensure that the business risk in relation to Financial Crime/AML/Complaints is fully assessed and managed to ensure a world class standard is established and maintained. • I also undertake strategic and continuous monitoring reviews in order to be able to provide advice to the Group on products/services to retail clients thus ensuring the business meets all regulatory requirements to incorporate UK FCA regulation, consumer finance legislation and Treating Customers Fairly principles. I have put in place systems and procedures which will meet and exceed statutory requirements to ensure a culture of excellence and ethical service.

North West England & Northern Ireland, United Kingdom

• The regional subject matter expert on a wide range of regulatory issues including AML, TCF, T&C requirements, Complaints Handling etc.• Proven ability to analyse MI data (from a number of sources), interpret and identify key issues quickly to identify areas of weakness (on an individual, area and regional level).• Ability to interpret new and existing regulations, provide operational advice and support as well as delivering workshops/training when required.• Track record in rolling out changes in operational processes and implementing service improvement. Delivering new procedures on an ongoing basis to the Region and ensuring newly implemented changes followed correctly.• Successfully led region through group-wide change management program.• Experience in robust testing of employee adherence to Company procedures, FCA regulatory framework and best customer outcome, by direct customer contact.• Extensive experience in risk/compliance oversight role, and also reporting Conflicts of Interest, breaches of Company and Regulatory procedures and associated matters as well as ensuring all required CPD and Statutory Training undertaken in a timely manner.• Training and mentoring Bank staff, managing, coaching and developing FA/Area Managers/Regional Manager on a monthly basis by emails, teleconferences and face to face meetings to ensure adherence to key risk performance areas.• Experience in leading a large scale investigation and carrying out disciplinary of Advisers who had failed to follow documented guidelines and had potentially fraudulently claimed sales credit.• Providing coaching, guidance and feedback to Area/Regional Managers and Senior Management. Key in influencing Senior Management to initiate changes in risk behaviours.• Experience of creating, designing and maintaining risk-based ‘error-trapping’ Management Information Reports.

Northern Ireland, United Kingdom

• Worked in a network of Branches dealing with sales of protection, pension and investment products. • Maintained a detailed knowledge of company processes, products and the requirements of the regulatory framework.• Forming and retaining excellent relationships with Bank clients to generate protection and investment business to help me achieve personal and area targets.• Able to accurately assess and identify clients’ needs and referring them on to other specialist sectors of the business for advice when required.• Undertook ongoing training and mentoring of all staff to maximise referrals to increase profitability for the Branch, Area and Bank.• Responsible for managing personal pipeline of business to ensure seamless transaction between client and company.• Volunteered to take on additional role as Risk champion for the Area in addition to every-day job as adviser. This involved monthly delivery and explanation of any/all changes to T&C scheme, procedures, sales process etc to Area Manager and team of Financial Advisers.

Northern Ireland, United Kingdom

• Worked in a network of Branches dealing with sales of protection, pension and investment products. • Maintained a detailed knowledge of company processes, products and the requirements of the regulatory framework.• Forming and retaining excellent relationships with Bank clients to generate protection and investment business to help me achieve personal and area targets.• Able to accurately assess and identify clients’ needs and referring them on to other specialist sectors of the business for advice when required.• Undertook ongoing training and mentoring of all staff to maximise referrals to increase profitability for the Branch, Area and Bank.• Responsible for managing personal pipeline of business to ensure seamless transaction between client and company.

Mechanical Engineering

Electrical And Electronics Engineering

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