Vaughan Williams

Dependable compliance professional with 16 years of extensive financial services experience within line 1 & 2 roles. Proven track record in compliance monitoring, project management, enhancing internal controls and conducting risk assessments to ensure compliance with regulatory obligations. Possessing leadership skills with the ability to work independently and with a team. Capable of managing multiple projects with exceptional communication, presentation and organisational skills.

Senior Compliance Assurance Consultant | Phoenix Group

March 2021 – January 2025

Phoenix Group are the UK’s largest long-term savings and retirement business, supporting c. 12 million customers. My responsibility as a senior compliance assurance consultant included;

• Leading on internal and outsourcer compliance monitoring reviews in line with the group assurance methodology;
• Support the Compliance function by taking ownership of non-assurance activity (e.g. Consumer Duty implementation, managing group-wide conflict of interest policy and attestations);
• Mentor junior assurance consultants, improving team productivity through effective training, audit report reviews and on hand guidance;
• Designed and implemented the group horizon scanning methodology to assist in determining priorities for line 2 & 3 annual assurance monitoring and internal audit plans. 
• Providing expert and practical regulatory guidance, to the business in relation to its products, systems, policies, processes and controls;
• Acting as the compliance SME on projects, governance committees and meetings;
• Analysing, interpreting and reporting on emerging conduct risk and compliance MI;
• Collaborate with internal or third-party business partners to address audit findings and relay recommendations; and
• Designed and implemented the group horizon scanning methodology to assist in determining priorities for line 2 & 3 annual assurance monitoring and internal audit plans. 

Senior Compliance Assurance Analyst | Reassure Limited

February 2019 – march 2021

• Managed internal and third-party audit projects ensuring adherence to regulatory standards and internal controls
• Prepared comprehensive audit reports, summarising key findings and presenting actionable insights to senior management
• Strengthening third-party governance by delivering and high-quality audit and monitoring services. Reporting on findings and MI evaluations at regular joint steering and governance committees;
• Delivering training and drafting staff communications on how to comply with relevant requirements in the context of issues raised during assurance activity;
• Support the wider risk function by taking ownership of non-assurance activity (e.g. managing group-wide conflict of interest policy and attestations);
• Providing consultancy to the Risk and Compliance teams as a subject matter expert (SME) on the Aviva contract, operation and relationship; and
• Behavioural science champion responsible for consumer duty communication testing.

Change & Transformation Manager | Reassure Limited

November 2015 – February 2019

• Manage the day-to-day activity and development of junior business analysts aligned to project activity;
• Supporting with acquisitions and migrations by ensuring business readiness activity is completed and sufficient to meet regulatory obligations;
• Mentor and develop direct reports or members of supplementary customer service areas aligned to project activity;
• Collaborate with product owners of strategic partners (primarily Aviva) to design and implement initiatives that align to their strategy and enhance the relationship;
• Project manage cross-departmental business, IT and regulatory changes that deliver upon the key principles of improving customer outcomes, limit risk exposure and maintain a compliant operation;
• Present regularly reports to internal and external committees on operational KPIs, project updates and emerging risks; and
• Agreeing contractual arrangements and managing budgets to ensure clients expectations are met regarding project delivery costs.

Senior Change & Transformation Analyst | Admin Re UK Limited

August 2012 – November 2015

• Design and lead on the delivery of change projects aimed at fulfilling the strategic priorities of AdminRe, its partners and clients (primarily Aviva); 
• Coordinating management information requests required to fulfil audit rights of clients and participating in industry wide regulatory thematic reviews;
• Providing subject matter expert (SME) consultancy to ReAssure and SwissRe senior stakeholders to enhance the Aviva third party administrator (TPA) and reinsurance contract; and
• Maintain project literature that accurately details the governance of the change cycle and provides visual updates to both internal and external stakeholders.

Life & Pension Customer Service Administrator | Admin Re UK Limited 

September 2009 – August 2012

• Customer services agent responsible for carrying out a range of telephony and administration tasks on life, general insurance, investment and retirement products;
• Providing information and support to AdminRe and Aviva policy holders, who hold existing life, pension and investment products;
• Complaint case owner responsible for competing root cause analysis and where applicable making compensation payments for distress, inconvenience and material loss caused; and
• Coaching and development of new and existing staff.

2012 | Institute of Customer Services

ICS Accreditation Certificate in Customer Service Management

2011 | CPD Certification Services

LEAN SIX SIGMA – (Yellow & Green belts)

2004 - 2008 | Norwich University of the Arts (NUA)

2.1 Batchelor of Art Honor degree Graphic Design (Illustration)

2.1 Batchelor of Art Honor degree in Graphic Communication

2002 - 2004 | Norwich School of Art & Design

National Diploma in Fine Art

2 A levels in Photography & Art History

1998 - 2002 | Old Buckenham High School

11 GCSE’s (* A-C including Math, English, Business Studies & Science)