02 Nov Mark Lloyd Compliance Ltd
With over 22 years of experience as a senior compliance leader and a current role as a Compliance Consultant, I provide comprehensive and tailored solutions to FCA regulated consumer credit and retail financial services businesses.
I have a Bachelor of Laws (LL.B.) degree and I am a SMF 16 & 17 Approved Person, with in-depth knowledge and practical application of relevant rules and regulations.
My core competencies include compliance understanding and monitoring, compliance documentation drafting, design and implementation of compliance, governance and risk frameworks, data protection, anti-money laundering, FCA reporting, consumer duty implementation, and complaint handling.
I also excel at FCA relationship management and regulatory 'horizon scanning', helping my clients to understand the regulator's next priorities and actions needed to stay compliant.
My mission is to enable my clients to achieve their business goals while adhering to the highest standards of compliance, conduct and integrity.
- Bespoke Processes/Procedures
- Complaints Handling/Reviews
- Compliance Auditing/Due Diligence
- Compliance Support
- Compliance Training
- Data Security/Protection
- Enforcement Action Support
- File Reviews
- Financial Crime /AML
- Regulatory Returns
- Regulatory Updates
- Risk Assessment /Management
- Skilled Persons Review Support
- Supervisory Support /Monitoring /Assessment
- Consumer Credit/P2P
- Trade Associations