Sue B. Email & Phone Number

York, England, United Kingdom

Gibraltar

Responsible for all aspects of the company’s regulatory obligations, ensuring continuous adherence and appropriate monitoring to substantiate compliance. Enhanced the suite of System of Governance policies ensuring they were up-to-date and reflected best practice.Advised senior management and Board on FCA/GFSC rules including new and emerging requirements ensuring that the business remained up-to-date with its regulatory obligations.Developed and managed the programme of… Show more Responsible for all aspects of the company’s regulatory obligations, ensuring continuous adherence and appropriate monitoring to substantiate compliance. Enhanced the suite of System of Governance policies ensuring they were up-to-date and reflected best practice.Advised senior management and Board on FCA/GFSC rules including new and emerging requirements ensuring that the business remained up-to-date with its regulatory obligations.Developed and managed the programme of Service Provider Internal Audits providing support, training and guidance to staff. Led on the reporting process to management and engaged with auditees to ensure recommendations were implemented timely and effectively. Reported directly on outcomes to Audit Committee and BoardHeld the Regulated Individual designation ‘Head of Compliance’ with the Gibraltar Financial Services Authority. Show less

Sheffield, United Kingdom

Held the senior compliance role within the organisation and was the SMF16 with the FCA. Responsible for the identification and interpretation of current, new and emerging regulatory requirements disseminating the information as appropriate throughout the business providing implementation advice and on-going support, for example, IDD and SMCR. I regularly liaised with departmental and team managers to ensure that their function specific processes meet regulatory compliance requirements as… Show more Held the senior compliance role within the organisation and was the SMF16 with the FCA. Responsible for the identification and interpretation of current, new and emerging regulatory requirements disseminating the information as appropriate throughout the business providing implementation advice and on-going support, for example, IDD and SMCR. I regularly liaised with departmental and team managers to ensure that their function specific processes meet regulatory compliance requirements as necessary and provided a full compliance support service. I developed and implemented a system of compliance monitoring across the company to manage the firm’s compliance risk. I also have extensive experience of producing high standard policy documents for Board and/or Committee approval.I implemented and ran the Internal Audit function for the business until this was outsourced in 2014 and regularly liaised with the Audit Committee. Show less

Barnsley

Sheffield, United Kingdom

Sheffield, United Kingdom

Sheffield, United Kingdom

Leeds, United Kingdom

South Yorkshire

Various roles in Finance, Internal Audit & Management Accounts