CV & Personal Profile
33 Little Oak, Partridge Green, West Sussex, RH13 8JY
Tel: 01403 711086, mobile 07846 029146
Experienced Financial Services professional currently involved in designing and delivering
training to external business partners. Includes identification for most appropriate delivery
method for each item (face to face, by telephone/email, by webinar, or by use of Adobe
Captivate). With previous roles including quality control, project management, business analysis,
regulated sales complaint investigation and advising on wealth, mortgage and protection
products. With an open and honest approach, and able to work on own initiative or as part of a
team. Able to perform well under pressure, and keep to tight deadlines. Dedicated to
maintaining high standards. An excellent communicator able to deal with staff at all levels.
• Designed, implemented and delivered training on a new Mortgage and Protection point of
sale system for around 800 Mortgage and Protection advisers within the
Legal & General Network.
• Increased online protection application submission by analysis of management
information and training of advisers. This led to a reduction of costs to Legal & General
amounting to £70,000 per annum.
• Designed and implemented induction course for all new Wealth Advisers within the
Legal & General Network
• When carrying out Sales Quality checks and investigating client complaints consistently
exceeded target for the number of cases issued, and for quality.
Business Development Manager, Legal & General December 2014 to date
• Design and deliver training to external business partners at all levels on Legal & General
Network point of sale systems, all aspects of the regulated sales process and associated
• Provide training and support to supervisors and senior staff within external business
partners to enable them to develop advisers under their control.
• Design and deliver bespoke training to meet the needs of business partners.
• Actively provide consultancy to external business partners in order to increase efficiency
and business levels.
Control Review Officer, Legal & General May 2014 to December 2014
• Carry out risk based reviews on mortgage/protection cases submitted by advisers from
business partners within the Legal & General Network.
• Analysis of MI to identify trends representing risks to Legal & General, and the firms
• Production of competent MI pack reviews for the Network AR firms in line with the agreed
• Deploy, monitor and control the oversight of firms’ activity each quarter, ensuring this
manages risk. Take action as appropriate including additional POS case checking,
customer contact, supervisor case checking and hot spots analyses.
• Highlight any concerns to line management and ensure enhanced checking is
implemented, where appropriate.
Head Office Deployment Manager, Legal & General January 2007 to May 2014
• Design and deliver training to staff at all levels on all Legal & General Network point of
• Analyse, clarify, agree and document all aspects of business change requirements
according to End-To-End project management methodology.
• Provide a formal reference point in order to achieve successful delivery of programme
objectives within agreed timescale, budget and quality requirements.
• Ensure projects planned within a programme are aligned with strategic business
• Re-engineer and develop, challenging where necessary, workable solutions with third
parties, the business and the programme teams.
• Actively provide consultancy and support to project teams and act as delegate for Head of
Deployment when required.
Regulated Complaints Consultant, Legal & General January 2005 to January 2007
• Investigate complaints from customers regarding the sale of Investment, Mortgage,
Protection and General Insurance products.
• Ensure investigation carried out in accordance with company and industry regulator’s
• Communicate the outcome of all investigations clearly to all parties involved – ensure
clients fully understand the reason for the decision on their complaint.
• Where a complaint upheld ensure restitution paid to the client in a timely manner, again in
line with company and regulator’s guidelines.
Independent Financial Adviser, Sussex Independent Financial Advisers April 2002 to
• Independent Financial Adviser based in estate agency providing mortgage and financial
advice to clients.
• Responsible for own compliance and ensuring all company standards are adhered to.
• Achieved sales in excess of target across all areas including pensions and investments,
but specialised in the mortgage and protection market.
EDUCATION & TRAINING
Financial Planning Certificate Parts 1, 2 and 3 passed in 1996 – 1997
CEMAP Bridge Paper passed 2000
PRINCE 2 foundation passed 2008, PRINCE 2 practioner passed 2010
Chartered Institute of Bankers stage 1 examination passed 1988
Attended Whitgift School, Croydon from 1969 to 1976, and achieved passes in the following
• English Language
• English Literature
• Physical Science
• Excellent communication skills, and with the ability to talk to staff at all levels.
• In depth knowledge of all aspects of the regulated sales processes, and FCA
• IT Skills: Microsoft Office: Word, Excel, PowerPoint, Outlook and Adobe Captivate 7
• Remote Training: Citrix GoToMeeting, GoToWebinar and GoToTraining..
Rugby referee with the Sussex Rugby Referees Society.
Vice president of Horsham Rugby club
References available on request
My Personal Profile
I have worked in the financial services industry for in excess of 30 years, and in a
variety of roles. This has included working in a bank, then as a financial adviser. In
more recent times I have moved into supporting roles including as a business
analyst, obtaining project management qualifications along the way, before starting to
carry out L&D a few years ago.
This started quite late in my career, but of all the things I have done I have found
L&D the most enjoyable and fulfilling. I am also aware the financial services industry
I work in is constantly changing, and it is necessary to keep up to date with these
Specifically, my role involves training and developing advisers for external business
partners, and therefore my own personal credibility with them is key. These firms are
also potential future employers, and I am very keen to appear as professional, and
multi-skilled as possible. If they want any form of training from us I want them to
think of, and ask for me, first.
It is important to me that I deliver high quality training that meets the needs of the
individuals and firms concerned – this should lead to them achieving higher levels of
sales, but more importantly it should improve the quality, and therefore the retention
of the products sold.
To enable me to do this I need to broaden my skills as a trainer, and one key area of
this is making my delivery appeal to all the people I deliver to. This course should
enable me to identify different learning styles, and to recognise which style will
appeal to whom. This should help avoid falling into the trap of the ‘sheep dip’
approach to training.
For the above reasons, and because I want to remain in L&D for the rest of my
career, I have chosen to study for CIPD.
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