Paula Whitehead

Background

About Paula Whitehead

A commercially minded and versatile Sr. Compliance Manager and Money Laundering Reporting Officer (MLRO) with over two decades experience operating in complex Finance Sectors, and a Financial Advisor background. Extensive knowledge of the Financial Services industry, expert in developing and implementing strategies that deliver comprehensive business-wide engagement with, and adherence to, the Financial Conduct Authority (FCA) and regulatory requirements. The broad range of experience across wealth management, financial planning services, tailored in-house model portfolios, and discretionary investment management services. Open to: Hybrid Full Time, Fixed, Part Time, Job Share or Consultancy. KEY SKILLS Corporate governance and delivering successful compliance and risk management results Compliance Subject Matter Expert (SME) and Money Laundering Reporting Officer (MLRO) SMF17 Compliance with outside regulatory requirements and internal policies Compliance with all FCA RegData returns and FCA Connect activities Support management and operations with strategy and problem solving Respond to compliance and regulatory queries incl. reaching decisions that lead to policy changes Review and update policies in line with FCA rule/regulation changes i.e. SM & CR and Consumer Duty Meet the highest standards expected by clients and the FCA Apply ever-evolving regulator and other agency rules and regulations Identify, assess, prioritise, and manage risk Cultivate relationships and work alongside C-Suite/Finance Directors Maintain effective and sustainable management frameworks Promote professional, positive, and efficient compliance across the business Shape, develop, and implement business/financial strategies Produce effective SOPs and horizon-scanning regulatory updates Provide concise compliance information summaries to the business Interpret policies, draft new policies, and all evidence regarding incidents/client treatment Investigate route cause analysis and managing complaints Design, monitor, record, analyse and review T&C Schemes and act as adviser's supervisor Lead, motivate, inspire, coach, and mentor people/teams Prepare and deliver training regarding UK regulatory compliance Strong understanding of critical supervisory concepts and approaches Support the business and staff to deliver positive outcomes Knowledge of the 360 financial planning cycle Present and communicate to staff, Board and SMT SOFT SKILLS Ethical · Professional · Confident · Can-do Attitude · Empathetic · Pragmatic · Integrity · Problem Solver · Attention to Detail · Analytical