garrett o'reilly

* Developed audit programmes to assess compliance risks and to verify appropriate procedures and controls were in place. * Provided consultancy, advice and support to sales and head office staff at all levels across a range of regulatory codes (FSA, GISC and Mortgage Code). * Carried out investigations into sales and head office staff activity where there were concerns regarding compliance or suitable advice issues. * Delivered a monitoring programme across all distribution channels and head office departments of HHG group. * Provided senior management with effective feedback both verbal and written following visits and reviews.

* Training and Competence supervisor for Appointed Representatives. * Developed and delivered the training to network members and progressed them to competent adviser status. * Developed and implemented a monitoring programme to assess compliance with MCOB and ICOB rules. * Discussed remedial actions to address issues from mortgage sales reviews and ensured agreed actions were followed through. * Reviewed financial promotions for use by appointed representatives. * Designed and developed reporting mechanisms and issued reports following inspections to senior management.