Richard Scrivener
Senior Compliance Manager @TrinityBridge
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WORK HISTORY
Senior Compliance Manager @TrinityBridge
London, GB
Second line of defence primarily responsible for:> Creating and overseeing annual Compliance Monitoring programme across entire firm covering Wealth Planning, Portfolio Management and Operations, focused on reviewing end to end processes and assessing control design and alignment to the FCA rules (in particular CASS, COBS, and COLL)> Management and oversight of Regional Compliance Managers (who support the Wealth Planners by providing guidance, answering queries, and carrying out T&C assessments and other activities)> Management and oversight of File Review team (who assess Wealth Planning and Portfolio Management files to ensure suitability of advice/management respectively)> Provide ad-hoc support to Head of Risk and Compliance, including SMCR, PA Dealing, Gifts and Hospitality, Consumer Duty, etc> Compliance representation on board level risk and compliance committee, CASS committee, and other meetings/committees/projects> Check and challenge of FCA reportable breaches
EDUCATION
University of Bristol
BSc (Hons), Biology
SKILLS
ABOUT RICHARD SCRIVENER
I am a resourceful and highly motivated professional with over 15 years experience in the Financial Services Industry. I have excellent knowledge of the Investment/Asset Management space and have undertaken a number of roles ranging from operational, to business efficiency, to audit and assurance, to compliance.
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