1. Amanda Ettridge, Cert FP & CeMAP
Address: 1b Station Cottages, Station Approach West, Hassocks, West Sussex, BN6 8JE
Telephone: 07500 870468 E-mail: amandaettridge@hotmail.com
EMPLOYMENT HISTORY
General Asset Management Leasing Limited Apr 16 - current
Compliance Manager
 Technical knowledge and process development: Ensuring procedures and processes are fit
for purpose. Integrating best practice across unregulated side of business. Developing and
running a Compliance Monitoring programme, providing regular MI to Senior Management,
procuring a compliance provider firm and an online training management provider. Completing
due diligence checks for a takeover. Reporting via GABRIEL to the FCA, raising and completing
FCA applications to vary permissions and change control. Developing and delivering a training
plant to ensure competence for working in a regulated environment for all staff. Also responsible
for compliance in two other legal entities of the business, and monitoring subsequent conflicts of
interest.
Financial Conduct Authority (previously Financial Services Authority) May 11 – Apr 16
Senior Associate, Consumer Credit Authorisations Division, Credit Team
 Technical knowledge and process development: Ensuring procedures and processes are fit
for purpose. Three month secondment to Office of Fair Trading (OFT) ahead of their integration
to the FCA. Member of high-cost short-term lending (HCSTC) centre of excellence team. Head of
the home collected credit (HCC) centre of excellence team.
 Decision making: Lead case officer on two of the largest HCSTC applications for authorisation
and the largest HCC firm, including carrying out enhanced assessment visits to the firms’ offices.
 Team work: Assisting and supporting work of team case officers in assessing applications for
authorization. Mentoring 7 new members of FCA staff joining from the OFT. Working closely with
other areas of the FCA to establish best practice.
 Active engagement: Active member of issues forum created to improve internal processes and
change procedures in line with legislative changes. Developed a number of processes to assist
case officers in the assessment of firm applications. Seen as a local technical expert for a
number of areas.
 Corporate responsibility: Secretary for Sports and Social Committee, participant in voluntary
community projects.
Case Officer, Significant Influence (SIF) Team, Authorisations (6 month secondment)
 Technical knowledge and process development: Ensuring procedures and processes are fit
for purpose and current, established non-responder process within the SIF Team
 Team work: Assisting and supporting work of team case officers in assessing applications for
core roles, preparing briefing document ahead of SIF Interviews
 Active engagement: Attending and actively participating in pre-SIF interview briefing meetings
with PRA, Supervision, Senior Advisors and other interested parties from within FCA. Attending
SIF interviews and proactively participating in post-interviewde-briefs and decision making
 Corporate responsibility: Secretary for Sports and Social Committee, active participant in
Charity Committee and FCA Ski Club.
Associate in Conduct Policy Professionalism and Standards team,
 Technical knowledge: Provided guidance on implications on Professionalism and TC of the
Parliamentary Commission on Banking Standards. Building understanding and adapting to
changes in legislation effecting a large number of firms and individuals in the regulatory
environment.
 Award winning: Awarded internal formal recognition (infinity award) for work on over 150
applications for waivers against TC requirements in lead up to RDR implementation on 31
December 2012.
 Decision making and challenging: Taking ultimate Policy decision on approving or declining
applications. Challenging Waivers team’s decisions where necessary
 Research and presenting findings: Key player in research project on assessing adviser

2. readiness ahead of implementation of RDR, presented findings to both internal and external
stakeholders
 Technical knowledge and process development: Assessed all applications for new additions
to the Qualifications tables, acted as ultimate decision maker in appropriateness against required
examination standards. Developed new qualifications tables in order to make information more
accessible
 Networking, stakeholder management and research: Assessed existing qualifications in line
with Office of Qualifications and Examinations Regulation (OfQual) against their exam standards
to ensure compliance. Quickly gained understanding of OfQual requirements ahead of project.
Worked with key stakeholders to initiate review of exam standards for Managing Investments and
Pensions Transfers
 Corporate responsibility: Active participant in Sports and Social Committee, Global Corporate
(walking) Challenge and FCA in the community environmental projects. Interviewer in selection
events for games makers for London 2012 Olympic and Paralympic games.
Learning & Development Manager (T&C), Smith & Williamson Jan 08 – Apr 11
- Reason for leaving: Illness, from which I am now fully recovered
 Implementation and development of others: Implementation of new TC Scheme for over 40
IFAs in 4 UK locations
 Technical knowledge and process development: Developed internal database for identifying
position of all approved persons in line with FSA’s TC sourcebook requirements
 Negotiation and resourcing: Sourced and implemented new Learning Management System for
firm, negotiating large discount and additional functionality, enabling firm to operate an evidence
based system for assessing new advisers as competent
 Research: Researched full implications on Professionalism of RDR and impact on all affected
Approved Persons
 Decision maker: Primary decision maker in firm wide approach to be taken to gain RDR
compliance for affected persons Processed of applications for FSA Approved Persons and
preparing SIFs for FSA interviews
 Development of others and supervision: Assessed trainee financial planners skills for compliant
adviser status sign-off
Training Coordinator, John Charcol Nov 06 – Dec 07
- Reason for leaving: Redundancy
 Technical knowledge, process development and development of others: Successful design
and implementation of Graduate Training Programme for group of 6 graduates moving into Sales
roles, including classroom training, 1-2-1 coaching and mentoring
 Development of other and process development: Carried out companywide training needs
analysis, advising on improvements including re-design of induction course for all new starters
 Personal development, negotiation and resourcing: Liaison with examiner and training
company in the enrolment for Certificate in Mortgage Advice & Practice (CeMAP) qualifications for
10 staff, including successful completion of CeMAP qualification myself
Product Delivery Manager, Health & Safety Executive Feb 06 – Nov 06
- Reason for leaving: 12 month contract, project delivered ahead of target
 Development of others: Mentoring fellowstaff members in increasing knowledge of Project
Management
 Process development: Improving processes in project office plan including creating templates for
Project documentation, liaising with Electronic Document Management (EDM) team on
implementation of system, piloting Project Management software
Project Manager, Complinet Ltd Apr 05 – Feb 06
- Reason for leaving: Career change
 Project management: Project Management of a number of Projects, from Initiation to Post Project
Review
Temporary Positions & International Travel Jan 04 – Apr 05
 Volunteering and personal development: Voluntary work in South America, working with different
cultures, overcoming language barriers and learning Spanish.

3. HSBC Bank Plc
Various roles - Reason for leaving: Voluntary redundancy and career break Jan 93 – Dec 03
Project Manager, HSBC Bank Plc, Change Management Design & Delivery
 Development of others: Development of team’s EDM skills, resulting in team utilising product
ahead of rest of department
Project Officer & Trainer, HSBC Bank Plc, New HQ Office Logistics Team
 Award winning, process development and project management: Integral member of team
awarded BT/IFS Financial Innovation Award for Business Knowledge Management Strategy 2002
and HSBC Best Service Team Award 2002, for implementing scheme to reduce reliability on paper
within the office environment
 Award winning and process development: Implementation of award winning e-solutions systems
within World Headquarters, including EDM
Trust Officer, HSBC Bank Plc, Global Investor Services, Corporate Trust Regulations
 Process development and development of others: Development and implementation of e-
solutions for compliance monitoring, including training all staff,
 Award winning, process development and development of others: Awarded Business
Achievement Award for developing compliance monitoring system in Dublin, up-skilling on Irish
regulations, assessing and delivering training needs to Dublin staff.
Supervisor, HSBC Bank Plc, Securities, PEP & ISA Unit
 Development of others: Motivated team allocated task of reviewing all application forms held for
previous 5 years by HSBC Securities PEP Unit
Administration Clerk, Lloyds Bank plc, Shoreham by Sea Branch Sep 90 – Nov 92
- Reason for leaving: Voluntary redundancy
- Administration: Processing of daily transactions and general admin
EDUCATION
Northbrook College of Design & Technology, Goring by Sea, W Sussex Sep 89 – Jul 90
BTEC Diploma in Business & Finance
Davisons CofE High School for Girls, Selbourne Road, Worthing, W Sussex Sep 85 – Jul 89
8 GCSEs
PROFESSIONAL QUALIFICATIONS & TRAINING COURSES
Chartered Insurance Institute’s RO1: Regulation & Ethics 2010
Chartered Insurance Institute’s Certificate in Life & Pensions 2010
Chartered Insurance Institute’s Certificate in Financial Planning 2009
Chartered Insurance Institute’s Certificate in Mortgage Advice 2007
PERSONAL INTERESTS
Volunteer work, hiking, skiing, travel and theatre. Training to be a listening volunteer for Brighton & Hove
Samaritans. Ran Brighton Marathon in 2014 and volunteer marshal at Brighton Marathon in 2015 & 2016.
Volunteered to work with London Olympic and Paralympic Committee as a Selection Event Volunteer,
interviewing and assessing potential candidates to work as Games Makers at the London 2012 Olympics
and Paralympic games.