Jan Phillips

WORK HISTORY

ABOUT JAN PHILLIPS

I am a Compliance, Conduct and Operational Risk specialist with over 30 years experience in the industry. I have a deep understanding of the FCA and PRA sourcebooks. My experience includes regulated lending, savings, investments and insurance I also have experience of commercial lending. I am currently the SMF16 with very recent experience of building a new bank and obtaining the requisite banking licence. Other experience includes- SMCR compliance, where I have written all of the SMF applications for my current employer and manage the SMCR process- Writing various Policies and Frameworks (including Regulatory, Conduct, Operational Risk, Complaints Vulnerable Customers, Whistle Blowing, Conflicts of Interest)- Conduct Risk- Change Management - Developing and overseeing the Bank\'s Risk Register- Responsibility for developing and implementing the Bank\'s Risk Assurance Programme - Overseeing the on-boarding and management of the Bank\'s 3rd party relationships- Approval of Financial Promotions- Horizon Scanning and identifying regulatory change- Writing Committee Papers- Acting as Secretary, including minute taking, for various Board Committees inc. Risk Committee, Audit Committee, Exco etc- Managing relationships with our Regulators the PRA and FCA- Providing regulatory advice to the Business- Regulatory Reporting- People management