1. CAREER PROGRESSION TO DATE
Jan 2011 to Office Manager
June 15 u
Oct 07 -2011 Mortgage and Life Administration:
Mr James Enos, Bright Financial Solutions Ltd, The Old Post Office, 13 Ewenny Road,
Bridgend, CF31 9UA
Duties
Office Managing:
Co-ordinate, manage and implement new incentives to ensure efficient & effective office
structure throughout all areas and to endure continuity of service throughout all teams.
Co-ordinating & Maintaining Health & Safety Policies
IT Supports and Requirements
Utility & Equipment Management & Procurement
Attend Relevant Conference, Seminars and Training Events
Implementing and maintaining a high standard with regards to the Treating Customer
Fairly Policy.
Staff Management:
To co-ordinate staff from all teams to ensure continuity and deliverance of standards are
continually met,
Ensure all Staff Training is sufficient and access competency of all staff, including,
preparing Management Information reports for Director.
Manage & Train New Staff and Work Experience Volunteers
Responsible for overseeing the implementation of a new back office system including the
overseeing of the data migration from the old system to the new.
Responsible for troubleshooting any issues with the new system and training staff on the
system.
Updating the back office system with client details and ensuring the data is kept up to
FCA regulation and Date protection requirements.
Report & Compliance:
Prepare and submit all management & compliance reports, including annual compliance
submissions to the regulatory authority
Co-ordinate, manage and implement policy & procedures to secure a rigid compliance
structure to ensure all regulatory
Ensure Deliverance for all Reporting is managed in a timely organised structure and
Deadlines are met.
Consult & Liaise with external Compliance Companies and Regulatory Authority when
required for further knowledge or when clarification requirements are necessary.
Compliance Management, implementing and applying all systems and controls & policy’s
& procedures to ensure all compliance practices are continually updated in accordance
with FCA regulations standards at all times.
Data Protection Management, implementing and applying all systems and controls
ensuring appropriate safeguards are in place. Including all IT Data Practices.
Applying and implementing the recent changes to the Consumer Credit Licence.
Ensuring all practicing licences are updated and in place where required.
Implementing a system and managing staff to ensure compliance regulations, systems &
procures were adhered to.
Reporting issues where required.

2. Preparing end of year accounts and assessing the data to prepare the FCA Gabriel Report
(regulatory bi annual compliance & account report)
Finance:
Budget Control
Monthly Company Accounting & Finance Reports & Spreadsheets
Payroll & Self-Employed Payments & duties
Online Company Bank Management
Preparing Full Annual Finance Records for Accountant
Ensuring Capital Adequacy checks are in place
Research:
Continual Research to ensure update compliance in all areas
Researching the financial market for competitive for Mortgage and Life Products
Submitting paper and online applications,
Tracking the submitted application and relating the appropriate updates to the client and
IFA.
Researching, learning and implementing new systems necessary to the industry
such as, online systems, new and advanced programs and technology
Research and learn and implement any new compliant regulations relevant to the
Financial
Marketing:
Co-ordinate, plan and deliver an effective marketing strategy to ensure a professional
presence in all regular advice areas as well as ensuring new initiatives are marketing in
accordance with the business strategy.
Attend & Prepare the relevant Marketing strategy for Business Forum Events
Initiating & Implementing regular Mail Outs both electronic and Postal
Evaluate Marketing Strategies and Campaigns
Email and Postal Marketing Mail-outs.
Marketing & Stationery Resources, including setting u business cards, letter heads and
outside signage.
General Duties:
Direct Client Liaison by all Media.
Direct Provider & Company Liaison by all Media
Direct Staff Liaison by all Media
General Administration
Providing clients with administration support, personal financial reports.
Providing updates and reassurance to clients by telephone, email and letter
industry.
Keeping up to date with The FCA Regulations
General Office Duties: answering telephone, faxing, franking, opening mail etc,
Dealing with general enquiries by telephone, email and 'personal visit', photocopying, etc
Ensuring a high standard of customer service is maintained at all times.