My Compliance background

 

I have a legal background (MA Juris - Oxford University), and a long career in public service, predominantly in UK Export Finance (UKEF). UKEF Is a Government Department, but operates in the sphere of financial services, providing guarantees in respect of loans, and insurance, in support of UK exports.

 

Having spent significant time in areas of policy development and implementation, I was asked to set up a new Policy and Products Division for UKEF. This involved the provision of advice on the implementation of all relevant policies, and ensuring that those policies were fully and consistently complied with. To this end I designed and delivered a risk-based oversight, monitoring and testing framework. This allowed UKEF’s top management (including it’s non-executive Board) to be assured that UKEF was compliant with all policies, and with the HMT Consent which regulates UKEF’s operations.

 

In 2019, I was asked to set up, from scratch, a Compliance function for UKEF. This involved team design recruitment and development, undertaking comprehensive risk assessments, and the setting and implementation of appropriate frameworks, policies, procedures and controls, including a monitoring, testing and reporting framework.

It further involved the design and delivery of Departmental-wide training in Financial Crime, both in  relation to internal controls and those related to the risk of UKEF supporting tainted export transactions, even where it might not be directly impacted (in terms of financial loss or liability).

I am a keen believer in continuous learning and development. Since setting up the Compliance function in UKEF, I have studied for and been awarded a number of professionally-recognised compliance qualifications, most recently a Professional Post-graduate Diploma in Financial Crime Compliance with the International Compliance Association (ICA). The qualification is accredited  by Manchester University, and I was awarded a commendation, and an award for outstanding achievement. I have been short-listed for Compliance Leader of the Year in the ICA (Europe) Awards 2023.

I have also been a vocal supporter of my team in gaining their own qualifications. All members of the Compliance function now have, or are working towards, a relevant qualification.

Throughout my current and previous roles, I have engaged proactively and effectively with colleagues across the organisation, including HR, strategy and legal functions, the Board, and across the business (customer-facing) areas. This has ensured a full understanding of the need for, and benefits of compliance. It has further ensured that roles and responsibilities are understood and communicated through teams at all levels.

I have been actively involved with improving the service offered by the Government’s counter-fraud profession (including by involvement in training design). I am recognised across multiple Government Departments as a subject matter expert in compliance, and am often approached for guidance and support (especially in ways to gain senior buy-in). I am also regularly invited to present to Expert Working Groups, representing OECD Export Credit Agencies.