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Senior
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Senior Compliance Professional with a wide skillset
Matthew Halsall
,
Weybridge, United Kingdom
Experience
Other titles
Skills
I'm offering
Senior Compliance professional and an expert in Compliance Monitoring/Assurance, Conduct Risk and Complaint Handling. I have excellent skills in report writing, risk assessments, policy writing and review, Board level reports and general proof reading. In addition to that I am a business owner with a 300k annual turnover so am happy to assist with business plans, career advice and CV writing.
Markets
United Kingdom
Links for more
Once you have created a company account and a job, you can access the profiles links.
Industries
Language
English
Fluently
Ready for
Larger project
Ongoing relation / part-time
Available
My experience
2018 - ?
job
Senior Compliance Manager
FBN Bank UK.
(contract until April 2018 - Permanent thereafter)
• Initially recruited as the Head of Compliance Monitoring, my role was redefined and ex-
panded, deputising for the Head of Compliance SMF16/17 as the Head of Compliance
Monitoring, Policy and Governance, a 'Material Risk Taker' for the bank with 3 direct
reports.
• My team are responsible for the delivery of the Compliance Monitoring Plan, updating
Compliance policies, Regulatory Reporting, Horizon Scanning, Compliance training and dealing with all conduct related advice and support bank-wide.
• The Compliance Monitoring plan involves multiple reviews across financial crime and conduct, split between larger thematic based reviews and periodic control checks.
• My responsibility is to manage the team and ensure timely completion of deliverables;
produced to a high standard. I am also secretariat for the Compliance and Risk Manage-
ment Committee, which involves production of the MI pack through to presentation and follow up on agreed actions.
• Other tasks have included the completion of the Business Risk Assessment for 2020, de-
velopment and delivery of Compliance training, tracking and completion of s166 and in-
ternal audit issues.
• Initially recruited as the Head of Compliance Monitoring, my role was redefined and ex-
panded, deputising for the Head of Compliance SMF16/17 as the Head of Compliance
Monitoring, Policy and Governance, a 'Material Risk Taker' for the bank with 3 direct
reports.
• My team are responsible for the delivery of the Compliance Monitoring Plan, updating
Compliance policies, Regulatory Reporting, Horizon Scanning, Compliance training and dealing with all conduct related advice and support bank-wide.
• The Compliance Monitoring plan involves multiple reviews across financial crime and conduct, split between larger thematic based reviews and periodic control checks.
• My responsibility is to manage the team and ensure timely completion of deliverables;
produced to a high standard. I am also secretariat for the Compliance and Risk Manage-
ment Committee, which involves production of the MI pack through to presentation and follow up on agreed actions.
• Other tasks have included the completion of the Business Risk Assessment for 2020, de-
velopment and delivery of Compliance training, tracking and completion of s166 and in-
ternal audit issues.
Audit, Training, Compliance, Support, Assessment, Monitoring, Regulatory, Production, Audit, UP, Manager
2017 - 2018
job
Compliance Officer
Compliance Assurance.
-
Kleinwort Hambros Private Bank (contract)
• Conducted thematic compliance monitoring reviews and continuous monitoring activities
across the UK. Channel Islands and Gibraltar.
• Concluded my contract with the delivery of a Responsible Lending thematic review
alongside the testing of discretionary portfolios against the client agreed mandates.
• Responsibility for completing GPS and Morse controls (Ops Risk) for London compli-
ance.
Kleinwort Hambros Private Bank (contract)
• Conducted thematic compliance monitoring reviews and continuous monitoring activities
across the UK. Channel Islands and Gibraltar.
• Concluded my contract with the delivery of a Responsible Lending thematic review
alongside the testing of discretionary portfolios against the client agreed mandates.
• Responsibility for completing GPS and Morse controls (Ops Risk) for London compli-
ance.
Compliance, GPS, Monitoring, Testing
2017 - 2017
job
Compliance Manager
Compliance Monitoring.
Testing and Governance - Credit Suisse International Wealth Management UK
(contract)
• Worked within a small Compliance Monitoring team within the private banking arm of Credit Suisse UK.
• Reviewed credit lending procedures and dealing with clients in arrears for regulated
mortgages and Lombard loans.
• Conducted 'end to end' reviews of Cross Border Activities and Dealing with Vulnerable
Customers.
• Took ownership and resolved complaints from high net worth clients.
(contract)
• Worked within a small Compliance Monitoring team within the private banking arm of Credit Suisse UK.
• Reviewed credit lending procedures and dealing with clients in arrears for regulated
mortgages and Lombard loans.
• Conducted 'end to end' reviews of Cross Border Activities and Dealing with Vulnerable
Customers.
• Took ownership and resolved complaints from high net worth clients.
Management, Compliance, Banking, Net, Monitoring, Testing, International, Manager
2015 - 2016
temp
Head
HSBC.
of UK Conduct Compliance as a second line of defence SME for
Conduct Risk. Worked within a team of 4 people including a data expert and Behavioural
Economist.
• Collaborated with HSBC UK business lines in response to an FCA information request
on culture, in preparation for a regulator visit.
• Contributed to a monthly summary of conduct themes and issues to the UK bank CF10
for presentation to the UK Bank Risk Management Committee
• Assisted in the preparation of a workshop promoting a customer centric culture across
UK regulatory compliance including the transition to a "Firm B" model of operation.
• Worked with the Commercial bank to improve conduct MI across the business.
• Wrote the UK Conduct Risk policy and Business Advice and Support DIM (Desk In- struction manual).
• Regularly attended at the UK Complaints Committee.
Conduct Risk. Worked within a team of 4 people including a data expert and Behavioural
Economist.
• Collaborated with HSBC UK business lines in response to an FCA information request
on culture, in preparation for a regulator visit.
• Contributed to a monthly summary of conduct themes and issues to the UK bank CF10
for presentation to the UK Bank Risk Management Committee
• Assisted in the preparation of a workshop promoting a customer centric culture across
UK regulatory compliance including the transition to a "Firm B" model of operation.
• Worked with the Commercial bank to improve conduct MI across the business.
• Wrote the UK Conduct Risk policy and Business Advice and Support DIM (Desk In- struction manual).
• Regularly attended at the UK Complaints Committee.
Risk Management, Management, Compliance, Support, Regulatory, Workshop, Customer
2015 - 2015
job
Interim Risk and Compliance Manager, Ratesetter
The Board.
(con- tract)
• Managed regulatory projects including a full review of the 'end to end' customer journey
and website content from a risk perspective.
• Wrote the Anti-Bribery and Corruption policy
• Wrote the Anti-Money-Laundering policy
• Completed a Financial Crime Risk Annual assessment for The Board
• Managed regulatory projects including a full review of the 'end to end' customer journey
and website content from a risk perspective.
• Wrote the Anti-Bribery and Corruption policy
• Wrote the Anti-Money-Laundering policy
• Completed a Financial Crime Risk Annual assessment for The Board
Compliance, Website, Content, Assessment, Regulatory, Interim, Manager, Customer
2015 - 2015
job
Compliance Monitoring Manager, Wealth & Investment
Management Compliance, Barclays PLC.
(contract)
• Conducted a Product Governance review of a specialist Wealth team that referred high
net worth clients to the investment bank for bespoke finance solutions. (Equity block sales, M&A, Structured Notes).
• Tested existing controls and reviewed processes with internal procedures and in refer-
ence to the FCA handbook. Built end-to-end process maps of procedures and conducted
walkthroughs of sampled closed deals.
• Completed a full review of procedures for the business area, concluding with a number
of issues and recommendations to add to the final report.
• Conducted a Product Governance review of a specialist Wealth team that referred high
net worth clients to the investment bank for bespoke finance solutions. (Equity block sales, M&A, Structured Notes).
• Tested existing controls and reviewed processes with internal procedures and in refer-
ence to the FCA handbook. Built end-to-end process maps of procedures and conducted
walkthroughs of sampled closed deals.
• Completed a full review of procedures for the business area, concluding with a number
of issues and recommendations to add to the final report.
M&A, Finance, Sales, Compliance, Net, Monitoring, Processes, Manager
2014 - 2015
job
Compliance Monitoring Manager
PCB Compliance, Bar.
clays PLC (contract)
• Worked as Compliance Monitoring Manager across the Retail and Commercial business
banking areas. Following the initial six-month period, my contract was extended, and I
moved across to the Wealth Compliance Monitoring team.
• Led a review of Front Line Monitoring across the UK Retail bank and Barclaycard
Sanctions, Prohibitions and AML, focusing on Quality Assurance, MI and procedures.
• Conducted an audit across a sample of retail branches that involved interviewing branch
managers and Personal Bankers, reviewing branch business plans and reporting findings
back to the project lead.
• Reviewed retail and commercial business complaints against internal procedures and FCA reportable breaches (including loans, bonds, current accounts, business accounts, credit cards and other related complaints).
• Worked as Compliance Monitoring Manager across the Retail and Commercial business
banking areas. Following the initial six-month period, my contract was extended, and I
moved across to the Wealth Compliance Monitoring team.
• Led a review of Front Line Monitoring across the UK Retail bank and Barclaycard
Sanctions, Prohibitions and AML, focusing on Quality Assurance, MI and procedures.
• Conducted an audit across a sample of retail branches that involved interviewing branch
managers and Personal Bankers, reviewing branch business plans and reporting findings
back to the project lead.
• Reviewed retail and commercial business complaints against internal procedures and FCA reportable breaches (including loans, bonds, current accounts, business accounts, credit cards and other related complaints).
Retail, Audit, Compliance, Banking, PLC, Quality Assurance, Monitoring, Audit, LED, Manager
2013 - 2014
job
Compliance Oversight Manager
Lloyds Commercial Banking.
(SME Derivatives / Interest Rate Swaps Remediation Review Project), Lloyds Commercial Banking (contract)
• Case Assessment and Sophistication analysis using knowledge of COBs, FCA principles
and BIPRU.
• Assessed a number of derivative hedging products including Interest Rate Swaps, Col-
lars and Caps in addition to commercial and corporate borrowing facilities.
• Reviewed credit files and interest rate derivative documentation to determine the suit-
ability of the sale.
• Conducted research into complex organisational structures, including foreign companies
to determine ultimate beneficial ownership, using existing KYC documentation and through investigating company and owner details.
• From October 2013 onwards I worked on the Case Assessment Team, conducting de-
tailed assessments of customer files to ascertain whether they were suitable to be sent on
for redress to be calculated to the customer.
• The case assessments involved detailed analysis, subjective arguments and discussions
regarding contentious cases and debatable points of view.
• Managed a complex and varied caseload working to tight timeframes.
• Case Assessment and Sophistication analysis using knowledge of COBs, FCA principles
and BIPRU.
• Assessed a number of derivative hedging products including Interest Rate Swaps, Col-
lars and Caps in addition to commercial and corporate borrowing facilities.
• Reviewed credit files and interest rate derivative documentation to determine the suit-
ability of the sale.
• Conducted research into complex organisational structures, including foreign companies
to determine ultimate beneficial ownership, using existing KYC documentation and through investigating company and owner details.
• From October 2013 onwards I worked on the Case Assessment Team, conducting de-
tailed assessments of customer files to ascertain whether they were suitable to be sent on
for redress to be calculated to the customer.
• The case assessments involved detailed analysis, subjective arguments and discussions
regarding contentious cases and debatable points of view.
• Managed a complex and varied caseload working to tight timeframes.
Research, Compliance, Banking, Assessment, KYC, Manager, Customer
2010 - 2013
job
Senior Associate
PricewaterhouseCoopers LLP.
I worked within the Corporate Governance & Managing Regulatory Change sub-compe-
tency within the Risk Consulting practice for PwC
• My role included a combination of project management, relationship management, past
business and remediation reviews, Conduct Risk, TCF, FSA DISP, Report writing, com-
pliance reviews and general administration.
tency within the Risk Consulting practice for PwC
• My role included a combination of project management, relationship management, past
business and remediation reviews, Conduct Risk, TCF, FSA DISP, Report writing, com-
pliance reviews and general administration.
Project Management, Writing, Administration, Management, Consulting, Regulatory
My education
?
-
2010
College of Law Moorgate
Certification, N/a
Certification, N/a
?
-
2003
University of Birmingham
BCom Hons, Business Commerce
BCom Hons, Business Commerce
?
-
2000
Bedford School
Secondary, Geography
Secondary, Geography
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