Stuart Bain Email & Phone Number

United Kingdom

Cardiff, Gb

Cardiff, Gb

Cardiff, Gb

First line compliance advisory, risk and financial crime oversight for the Retail business.Supporting and holding to account the Retail Executive Committee to ensure regulatory, conduct and financial crime risks are managed within risk appetite.

Cardiff, Gb

Money Laundering Reporting Officer and responsible for Compliance Oversight.Assessing the Group’s ongoing regulatory requirements and ensuring that a robust compliance culture is in place across the Group by implementing an effective training plan, clear procedures, and ongoing advice and support.

New York, Ny, Us

Managed a Financial Services Compliance function to provide oversight and assurance to the approved persons that the business complied with the relevant requirements and standards of the regulatory system.Provided support to the approved persons to enable them to understand their responsibilities under the regulatory system and to recommend robust controls so that obligations can be met.Liaison with the FCA and PRA relating to organisational arrangements and regulatory reporting.Supported the business during the transition of regulation of consumer credit from the OFT to the FCA.

London, London, Gb

Provision of compliant and commercial advice to the business to enable them to manage their operational risks effectively. Carried out structured reviews to assess whether sufficient controls were in place and were effective to manage operational risks. Provided assurance to the approved person that the control framework is robust and where breaches were identified appropriate remedial action was undertaken.Management of a transaction-monitoring tool to identify poor sales quality and adviser fraud. Reviewed data, collated intelligence and took action where adverse indicators occurred.

London, London, Gb

Delivery of excellent customer service within protection new business and a sales complaints team by managing, leading, motivating and developing employees at all levels so that the team’s business objectives were consistently met.

London, Gb

Management of staff, stock and purchasing within the store to achieve challenging profit and productivity targets.

Supported the launch of a new contact centre completing induction training for 700 members and subsequent training on new products and services.