Tom Berrington Email & Phone Number

Tetbury, GB

Enhanced the regulatory compliance, risk management and governance for numerous FTSE100 and global firms across financial services (insurers, investment managers and banks) for example: - implementation of improvements to address FCA/PRA regulatory requirements from threshold conditions, system and controls, SM&CR, outsourcing, conduct risk, consumer duty.

Designed and embedded a control framework to address the emerging Treating Customers Fairly requirements. Liaised with the regulator to validate a framework of organisational, process and control arrangements before implementing it across the UK business.

Regulatory horizon scanning, identifying, interpreting and assessing the impact of new regulatory requirements for the business. Conduct risk and compliance monitoring and reporting.Managing regulatory change.Managed the processes for appointment of senior managers and certified persons (SMFs) including coordinating Board and senior management.

Managed a portfolio of Insurance, Investment, Life & Pension products distributed through financial advisers in the branch network. Working closely with the product provider and operations, sales, compliance functions he led new product launches and marketing campaigns.