Sarah is responsible for the implementation and management of the T&C / SMCR schemes for BW and BWSIPP, ensuring compliance with the regulations and proactively identifying opportunities to develop and extend the scheme. She ensures new recruits and supervisors are aware of regulatory responsibilities and requirements. Taking responsibility for the initial and ongoing assessment of fitness and propriety of relevant individuals. Overseeing a framework to develop and assess an individual’s skills, knowledge and expertise.
Her main areas of expertise include Training & Competence.
Internal role; her clients are mainly from the regulated areas of the firm, Investment Consulting, Employer Consulting and SIPP. Although she also works with Employer Consulting, SSAS and other business areas as required.
She does volunteer work in schools and the workplace to promote financial capability and deliver financial education. Qualified A1 Assessor. Fellow of Personal Finance Society and Investment Management Certificate qualified.
Significant Experience:
- re-define the supervisory framework to recognise the expansion and growth in regulated areas and activities; anticipate the changes that will occur under SMCR
- developed and implemented a Management Information system, which ensures T&C remains within acceptable risk margins
- developed T&C Framework for SIPP, including supervisory structure, training for supervisors, regular catch ups to ensure adherence, study pathway, development plans for new starters and existing staff and online My Learning modules to complement this
- expand and implement fitness & propriety checking across the firm
- support the business to reduce risk by assisting and pushing through the transition of regulated work into areas where competence and expertise is evident.
