This document provides a summary of Chris Stanbury's professional experience and qualifications. It details his 15 years of experience handling complaints and disputes in the financial sector. His most recent roles have involved reviewing investment and insurance sales files at various banks and wealth managers. He has a strong track record of consistently meeting and exceeding productivity and quality targets. He also has experience managing and mentoring teams. Chris holds several qualifications in financial planning and management.

1. CHRIS STANBURY
49 Hanover Road, Coxheath, Maidstone, ME17 4QG
Tel: Home 01622 747093: Mobile: 07943 712221
E-mail: chrisstanbury@btinternet.com
Personal Profile:
An analytical, customer focused and integrity driven Regulated Investment and Insurance Sales File
Reviewer and Complaint Handler. With 15 years complaint and dispute handling experience within the
private sector and Financial Ombudsman Service. Also successful management and training/coaching
experience and qualifications (including full FPC). Seeking opportunity that utilises excellent analytical,
problem solving, decision making and written/ verbal communication skills.
Professional Experience:
KPMG – Broadgate, 22-26 The Headrow, Leeds, LS1 8EQ– 15 February 2016 to 16
December 2016 – Temporary Contract
Senior File Reviewer
FCA review of investment and protection products sold by Lloyds Banking Group including Capital
Protected plans, OEICs and Personal Investment Plans. Daily review calls with customers and
writing decision letters.
Key Achievements
 Consistently met and exceeded both productivity and quality targets.
 Volunteered to provide Subject Matter Expert advice and mentoring for several tranches
of up to 15 new starters until they were signed off as competent.
 On KPMG panel for deciding quarterly department champion.
Brewin Dolphin Wealth Managers – 12 Smithfield Street, London EC1A 9BD – 1
October 2015 to 27 November 2015 – Temporary Contract
Detriment Review Analyst – Risk and Compliance Department - Wealth Management
Role involved triage and then full file review of wealth management portfolios, looking at general
suitability, periods of poor performance and/or mismanagement to establish any detriment to the
client. Contacting Investment Managers for their comments and if detriment established
performing calculation to establish portfolio loss.
Key Achievement
 Accredited within required timescale. Consistently high quality while meeting productivity
targets. Ability to learn highly complex work quickly and with minimal guidance.
 Completed short term contract and Project Manager will provide a good reference.
Lloyds Bank - Walton St, Aylesbury, Buckinghamshire HP21 7QW May 2015 to
August 2015 – Temporary Contract
Sales File Reviewer
Role involved regulatory FCA review of investment and protection sales for Personal Investment
Plans, Guaranteed Income Plans, Capital Protected Plans, OEICs and ISAs. Also review of
insurance sales of Whole of Life, Funeral Expenses and Critical Illness. Meeting daily productivity
targets and quality targets (above 90%). Daily review telephone calls with customers to determine
suitability. Writing outcome letters. Mentoring of new starters.

2. Key Achievement:
 Signed off as competent within required timescale. Then able to meet and at times exceed
productivity and quality targets, as well as provide mentoring for new starters.
Coutts Private Bank, London WC2R 0QS July 2014 to end Nov 2014
Short term assignment
Specialist Investment Complaints Team Manager – Private Banking
Role involved managing a team of Specialist Investment Case Handlers (10 staff), providing their
ongoing support/mentoring, one to ones and appraisals. Weekly updating to Director and
Managing Directors of team statistics and workload. Analysing quality of work completed in line
with FOS/FCA approach and Treating Customers Fairly and providing feedback. Root Cause
Analysis. Ensuring work is delivered to FCA rules and timescales and running of the day to day
management of the specialist complaints workload.
Key Achievements:
 During project reduced the backlog of over 8 week cases from 47 cases to 6 cases, by
introducing closer daily monitoring of work via SharePoint and focusing on age profile of
workload, while ensuring productivity targets were maintained.
 Achieved standard set by the Client Experience department of 90% cases for myself and
my team passing quality checking.
Barclays Bank Plc, Dartford DA2 9DE March 2008 to June 2014
Senior Case Manager –Specialist Complaints (Wealth and Retail Banks)
Role has involved case handling in multi-manager portfolios, mortgage endowments, structured
capital at risk products (SCARPS) and defined return plans. Skilled in verbal and written
communication with internal and external customers. Calculating appropriate redress. Used to
dealing with legal complaints where solicitors are involved.
Undertaking quality and compliance checking in line with FCA/FOS rules, root cause and trend
analysis to drive customer experience and improve Net Promoter Scores. Coaching and mentoring
of junior colleagues. Training and mentoring of staff.
Key Achievements:
 Mortgage Endowment Project Leader – Ran a project that involved taking on the
mortgage endowment work from the closing Richmond office. Role involved end to end
process of mortgage endowment complaint handling and redress calculations.
 Created and implemented a process change that involved calling our customers after their
final response to check for understanding and cover any further queries and concerns.
This process was trialled and then adopted fully by Barclays Specialist Complaints. It
enhanced the customer experience and helped reduce volumes of cases referred to FOS
(from 50% down to 25%).
 Able to deliver consistently high levels of quality and productivity while looking at higher
level processes, such as root causes, complaint trends and where we can add value for
our customers.
Financial Ombudsman Service, London E14 9SR: Jan 2001 to February 2008
Decision Writer – Mortgage Endowment Specialist (Oct 04 – Feb 2008)
Role involved quality checking Adjudicators’ conclusions to FOS/FCA standards, providing
coaching and feedback to Adjudicators and drafting mortgage endowment decisions for the
Ombudsman to endorse. Also training and mentoring of junior complaint handlers to ensure
customer focus, clear written and telephone communication, sound judgement, accuracy and
quality within their work.

3. Key Achievements:
 Provided support, training and mentoring for a team of newly employed complaint
handlers, resulting in new team being fully functional within two weeks and able to reach
and exceed quality and quantity targets by the end of the initial six month target period.
 Developed successful relationship with Ombudsmen and senior managers as well as
providing constructive feedback to case handlers. By quality checking cases to be passed
to the Ombudsmen was able to reduce Ombudsman workload.
Independent Financial Adviser (IFA) Complaints Review Project (Jan 04 - Sept 04)
Chosen by management for secondment to a project reviewing Financial Adviser mortgage
endowment complaints that had not been resolved in accordance with normal procedures. The
project was high profile and progress was monitored and reported to senior management and
Ombudsmen.
 Managed to identify, using problem solving, analytical and organisation skills, those cases
where the original outcome was incorrect.
 Liaised in a sensitive way to communicate to the financial advisers the reasons why the
complaint was being re-opened and the likely outcome that the firm had mis-sold the
policy.
Complaint Handler/Adjudicator (Jan 01 to Dec 03)
Reviewing complaint files to where possible resolve them through mediation and negotiation. Use
of analytical, communication and problem solving skills. Worked in the investment team, dealing
with mortgage endowments, pensions and with-profit/unit-linked bonds.
Key Achievement:
 Through questioning and challenging our processes I initiated a change to the layout of
our final decisions that was adopted by the Ombudsman.
National Provident Institution (NPI), Tunbridge Wells: Sept 1988 to Dec 2000
Team Manager Pensions New Business (Jan 97 to April 00)
Key Trainer (Jan 94 to Dec 96 and May 00 to Dec 00)
Pensions New Business and Premiums Administrator (Aug 88 to Dec 93)
Computer Skills
 Word for Windows, Excel, Outlook and presentation delivery using PowerPoint. Windows 8.1
and Internet/Web. Use of these and on-line tools to obtain Root Cause Analysis and MI.
Education and Qualifications
 CII Diploma In Regulated Financial Planning – R05 – Financial Protection – April 2013
 Level 3 Introductory Certificate in Management from the Chartered Management Institute
– November 2006
 Financial Planning Certificate – Level 3 (FPC 1 in November 1999, FPC 2 in July 2000,
FPC 3 in October 2000)
 Seven O levels including Maths and English - Skinner’s Grammar School (1981 to 1987)
Interests and Hobbies
 Cricket, snooker and pool, socialising, classical music, charity walking, hill walking and mountain
climbing.