Customer Management and Operations
Review of conduct risk arrangements at the UK branch of an Asian wholesale Bank, requiring identification of key Conduct Risks within the organisation’s operating model and helping to raise the awareness of senior management in relation to Conduct Risk requirements.
Design and implementation of a Quality Framework for a UK retail bank to cover their secured arrears management process in response to regulatory concerns regarding their forbearance systems and controls.
Supported a UK Insurance Broker with the implementation of a controls framework to ensure a consistent approach to managing conduct risk across its 100+ UK operational locations. This touched all key areas of the client’s operations and required the development of a comprehensive set of control requirements to address key risk areas e.g. claims management, product design and approval, agency / appointed rep governance etc.