Description

I help business owners understand what makes them feel safe, so they don’t take unnecessary risks within their business.

You understand the requirement to manage risks within your business to enable to you to scale safely to the next level, BUT IT JUST DOESN'T LIGHT 💡 YOU UP?

When you initially established your business you were happy to invest your time, but you are now ready to scale to the next level and your time has become more valuable.

You appreciate the importance of managing risks but it isn't your skill set and you would prefer to utilise your time on your passion/joy - your business. You want your business designed to enable you to deliver your magic, whilst managing any associate risk, not to take your energy away from what is important to you.

If the above reasonates with you, then you need the Genie 🧞‍♀️ - I believe managing risk and compliance should work magically in the background for the benefit of your business. Each business is unique and how risk and compliance is managed should be unique you.

I want you to feel excited about delivering your magic to your clients, and be confident and trust that you have the right foundations in place so you can evolve your business to the next level.

As the Genie I love managing risk and compliance and ensuring the right foundations are in place in businesses, specialising in financial services - so you don't have to 🤓

Let’s bring the magic into the mundane!

Having a forward thinking Risk, Compliance and Governance professional supporting your business ultimately leads to a successful, robust and sustainable business for the benefit of all involved.

No matter where you are in your business journey, your next level in business requires the next level of protection - evolve consciously with the Genie at your side.

Languages

English
Native or bilingual

Workplace preferences

Remote only

Primarily works remotely

Compliance Genie Ltd
Director
August 2020 - Today (5 years and 10 months)
East Riding of Yorkshire, UK
The Compliance Genie was created to support conscious business owners and give them back their time to scale their business to the next level without the worry, overwhelm or fear of getting the compliance requirements wrong. We always have choices, do we invest our time or our money to help us get to the next level - money we can always create more of - and time, well this is a finite resource something no one can control. Having a Compliance Genie removes the pressure and gives you the peace of mind knowing that your business is protected and you can focus on the evolution of your business and bringing your unique magic to your clients, and also enables you to focus on your Joy. The Genie will not only help you manage any risks, specialising in compliance (financial services and data) risks, with her unique skill set and knowledge your compliance, and where appropriate the management of your risks, will be tailored to your business whilst ensuring your compliance requirements are met.
Lairgate Financial
Compliance Director
August 2019 - April 2023 (3 years and 8 months)
East Riding of Yorkshire, UK
Overall responsibilities - ensuring the Business has effective Governance, Risk and Compliance structure to effectively manage Regulatory and other risks associated with a directly authorised financial services firm and to achieve the firm's strategic objective. Current Duties and Responsibilities: I am involved in the design and approval of business strategy in line with risk appetite, ethical standards and taking into account of necessary legislation. Compliance and AML Oversight incorporating accountability for:
- Data Protection
- Cyber Crime and Technical Resilience
- Training and Competency
- Regulatory Reporting
- Complaints
- Effective Systems and Controls
- Health & Safety
- Operation Resilience
- Managing ongoing Centralised Investment Process
- Auto Enrolment Compliance
Global Life Distribution Holdings Ltd
Head of Operational Compliance
August 2015 - August 2019 (4 years)
Hull, UK
Key achievements:
- Co-lead responsible for developing the company's response to GDPR. I was actively involved in the design, implementation and ongoing monitoring of GDPR, becoming one of the firm's SME in the matter.
- Review and implementation of the firm's risk management process, including strategic risks, operational and IT risks.
- Establishing and recruiting the firm's internal Quality Assurance (QA) Team, implementing robust systems and controls for an effective first line of defence.
- Evolving the QA process to focus on excellent customer outcomes, requiring effective change management and communication skills with both the Sales and QA teams.
- Designing and implementing a vulnerable customer process and policy, focusing on training front line staff to ensure good outcomes for vulnerable customers.
- Redesigning the Training & Competency scheme to ensure appropriate monitoring of all staff to enable evidence of the competency employee requirement. This will be further enhanced for SMCR requirements.
- Designing and implementing a Breach Management Policy and Procedure with the ability to obtain relevant management information (MI) to ensure the Board have effective oversight of the business. Root cause analysis for process improvement is completed on a monthly basis.
- Designing and implementing the firm's response to evidence compliance to key regulations.
- Implementing the firm's formal response to OFCOM compliance producing appropriate management information and reports to the relevant Committees.
- Financial Promotions - Training of marketing team to develop their understanding of the regulatory environment and consent requirements.