Pete Graham
Head of Compliance @Intelling Ltd
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WORK HISTORY
Head of Compliance @Intelling Ltd
Manchester, GB
Run/Manage the Risk & Compliance Department, which will consist of both Compliance Advisory and Monitoring functions and mitigate any conflicts that may arise throughout the department. • Identify Compliance matters/risks and make recommendations to the Board and other Senior Managers. • Be the focal point of the Compliance Department and attend and represent the Compliance Department/Company in any meetings/events as required by the Board. • Design the annual Compliance Monitoring Plan and ensure there is efficient implementation by the Compliance Monitoring Officer. • Provide sign off on all Thematic and Control reviews conducted by the Compliance Monitoring Officer. • Perform all managerial duties for the Compliance Department, such as 1-2-1’s, sickness & holiday reviews and disciplinaries. • Project manage and ensure efficient implementation of high-risk regulatory changes. E.g Senior Management & Certification Regime (SMCR) and GDPR. • Design and implement the company governance structure to ensure adherence to all Compliance requirements. • Implement the risk framework throughout the business including risk registers. • Ensure all regulatory reports are submitted to the regulators accurately and on time. • First point of contact for all regulatory concerns from third parties and regulators. • Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control. • Prepare reports for senior management and external regulatory bodies as appropriate. • Provide assistance to external visitors/auditors as and when necessary. • Review compliance policies and procedures produced by Risk & Compliance Advisory on a regular basis and ensure efficient roll out across the business. • Regular review of all other Compliance Advisory tasks performed by the Risk & Compliance Advisory to ensure accurate and efficient work is carried out. •Adhoc duties as required by the Board.
EDUCATION
FTW Skelmersdale
RTITB Counterbalance Lift Truck
Kingswood College
GCSE's, GCSE's
The University of Salford
BA Hons in Business and FInance, Business
Southport Colledge
AVCE in Business and Finance, Business and Finance
ABOUT PETE GRAHAM
I am dedicated, hardworking and capable of adapting to change with ease. I am well organised and a highly competent. My professional and personal integrity are clearly reflected in my consistent high levels of quality and efficiency in my day-to-day work. I have strong experience within Compliance, Risk, Project Management, AML / KYC, Protection Past Business Review, Outcome Testing, Complaint Handling, FOS Review, Remediation and DSAR work. I am an experienced Subject Matter Expert (SME), confident in providing the training and coaching of colleagues with differing levels of experience. I am also an experienced Quality Checker providing constructive and timely feedback in a positive manner.
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