Lead GDPR consultant offering data protection solutions to clients across the globe of varying scales from new start-ups to blue chip companies. I have delivered privacy services to clients from a range of sectors from aviation, pharmaceuticals, health, recruitment, financial services, charities and travel/tourism both in the UK and abroad to imbed the requirements of the EU GDPR legislation and manage the business change. The services have ranged from project management of small engagements end-to-end and support on larger engagements to deliver high quality work in a timely manner to include in addition to the above: • Preparation/assessments for organisation likely to be impacted by Brexit. • Risk management against likelihood/impact, and corresponding production & review of deliverables. • Proven ability to analyse problems, and communicating solutions to a wide range of audiences. • Delivery, design and implementation of privacy Training and awareness. • Ability to identify and understand the privacy risks faced by clients and minimise impact to their business. • Proven experience of successfully managing complex privacy services in a commercial environment, ensuring the delivery of high quality work on time and to budget. • Knowledge and programme implementation of the wide range of privacy principles, technologies and techniques such as: · DPIA/DPEA/LIA; · RoPA · DPIA for business and technology projects or transformation programmes including Artificial Intelligence and Machine Learning using third party API’s. · Privacy audits/assessments and advice; · Privacy inventories and data flow mapping including identifying data processing activities; · Legitimisation of International Transfers of Personal Information · Creation of data security breach response procedures and tools for reporting/preventing actual or suspected data breaches. · Assisting clients in privacy related incident response activities. • Act as an interim team member for the organisation via Sytorus DPO as a Service. • Use Sytorus Privacy Engine compliance tool in order for organisations to demonstrate compliance with the regulation. • Proven experience in identifying and converting sales opportunities. • My role involves national and international travel and working both from home and client sites as relevant.
Financial Services Compensation SchemeJune 2015 - February 2017
Undertake investigations for the FSCS on customer service/sales complaints to the UK operating regulatory model. Complaints on the mis-selling of complex UK regulated products such as Pensions, SIPPS, Mortgages and related products, Investment products: AIM Market shares, Bonds, Structured Products, Unit Trusts, NISAs, OEICS, SIPP, CFDs and Trusts. • Full investigation of quality checking to ensure a fair outcome following Regulatory COMP Rules in FCA & PRA Handbook, including COBS (Conduct of Business Sourcebook). • Collaborating with various bodies: FOS, MP’s, Regulatory bodies including functions such as Compliance & Legal, Finance & Risk, Audit and Technology. • Influencing stakeholders to obtain relevant information, facts, and documents. • In-depth understanding of the case handling process; Collecting relevant data and material, Calculating and issuing appropriate redress, Route cause analysis, FCA Regulations including TCF Principles, Upholding/Rejecting complaints, Bespoke letter writing. • Customer Service Regulatory responsibilities. • Support colleagues via training/mentoring/checking work/feedback
Resolving regulatory complaints for Barclays Wealth Investment Management (BWIM) in accordance with the Client Relations Handbook and Regulatory FCA & FOS requirements. • AML/KYC - Decision making after full investigation. • Redress Calculations and evaluating levels of payments as appropriate. • Case Load Management - Proactive diary management so cases are progressed to resolution according to regulatory timescales and dealt with in priority order. • Communication - Clear explanations for case decisions to internal/external clients. Negotiation skills to facilitate a resolution, including obtaining co-operation from operational areas and third party product providers if required. Clear records of the investigation and provide succinct executive summaries, for use in internal management information packs.
RFS - Scottish Widows LBGNovember 2014 - February 2015
Role was to investigate Pension, Life & Investment product sales. • Working evidence on application of FCA Regulatory Guidelines, Treating Customers Fairly (TCF) and Know Your Customers (KYC) guidelines, including individual CPD. • Weighing up relevant evidence in line with regulatory requirements and processing then documenting how conclusions have been considered. • Production of reports detailing investigations and conclusions demonstrating a full audit trail for the Business Client and the Industry Regulator. • SME on complaints/complex redress calculations in line with the Client and regulatory guidelines. • Composing and signing bespoke letter for end client for each reviewed and concluded case. • Case ownership, target driven environment, working within relevant timescales.
Provided consultancy and compliance driven training solutions to HSBC Regulated Financial Consultants to the required UK FSA Regulation in combination with the needs based selling model to build a “trusted” Premier wealth sales force and significantly improve the productivity of sales teams by implementing advanced coaching techniques to motivate and encourage learning in a compliant manner. • Top in UAE and most improved branch on regulated product sales. • Top performing branch in UAE for 2013: 47% ratio of Protection sales to Investment sales, and lowest error rates for paperwork in UAE: SOF, AML, KYC. • Influenced Stakeholders, articulated risks & applied a Regulatory lens to business strategy. • Designed and implemented training workshops, sales and coaching tools. This framework was rolled out in all HSBC branches across the UAE where I personally conducted all the road shows. • SME: Compliance knowledge through use of relevant sourcebook understanding, product and industry knowledge, key FCA risk outlook areas. Have the willingness and capacity to learn regulatory requirements quickly.
Royal Bank Scotland/NatWestOctober 2010 - September 2012
A unique and premier branch for NatWest Bank - Providing leadership, direction, coaching and support using sales effectiveness, and lean efficiency to influence & drive behavioural performance excellence and exceed objectives through consistent adherence to UK Retail standard Sales & Service processes, internal and external regulatory, operational, compliance, credit and key control systems and procedures. . • 98% CSI score (End of Year 2011) - 8th position region (Top Quartile nationally). • 54.8% YTD Growth in all area of meeting and fulfilling customer needs.
Support projects and programs by providing professional sales consultancy incorporating regulatory requirements. Activities included: • Supporting colleagues by incorporating sales/coaching tools and understanding current/future business and regulatory requirements. • Maintenance of compliance standards during marketing/advertising/ sales promotions. • First point of contact for ongoing day to day compliance advice and guidance to sales team.
Lloyds Banking GroupSeptember 2006 - November 2009
Responsible for increasing the market share of mortgage and protection business within the region of up to 18 Mortgage Specialists to an operating rhythm for sales and risk supervision in line with FSA regulation and policy: actively monitoring key risks and managing issues. • Recruited, trained and managed team of Mortgage specialist to an annual target of £65M and shifted position of group from bottom in country to 3rd position in L&SE Region within 12 month period achieving min 100% performance in all key lines in turbulent market conditions. • Strong knowledge of MCOB and BCOB and Conduct of Business. • Internal fraud investigation. • Proactive in implementing and leading integration of mortgage sales and Life insurance into the Mortgage Specialist role compliantly - Overall performance 11th in region/within Top 3 for Cross sale performance in Q3 2008 including Life Insurance sales. • Increased overall domestic mortgage performance by 559% from 2007-2008 by marketing the mortgage proposition in the local markets by attracting to customers and maintaining existing customers. • Awarded Mortgage Sales Manager of the Year. • Trained 6 New to Role Mortgage Specialists to CAS Status conducting Risk Assessment as required and cooperating with internal investigations. • Awarded Level 5 for T&C files reviews consecutively for 3 years maintaining regulatory CAS Supervisor status: Regulatory, Policy & Internal knowledge kept up to date.
Having successfully passed the graduate intake programme with the bank. Recognised as a trusted business advisor in the Regional Markets within Retail & International Private Banking. Successfully launched ICICI Banking services. Full responsibility to market LBG in the community by meeting with prospective quality new customers & achieving franchise growth targets in Quality Customer recruitment for 10 retail banking branches and leading organisation to this major change within retail & private banking. • Received National Award from London Mayors Office in recognition for this work. • Improved Customer Recruitment by 120% - All branches operate to one common methodology. • Developed relationships with Executives and Local Businesses, managed and marketed to a self- generated database of prospects through market knowledge and testing the new on boarding experience to ensure a 'Quality Welcome'. • Influenced Signage, Brochures, Literature and Marketing initiatives in line with regulatory standards. • Data Analysis and interpretation of information from multiple sources, reconcile variances and recommend improvements to senior management and key stakeholders. • Communication with a variety of audiences across business functions and tailoring messages creatively and appropriately. • Financial management expertise, overseeing budgeting and forecasting cycles and ensuring costs are accurately tracked and effectively controlled.
Risk management, Microsoft Office Pack, Business Development, Business Analysis
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