Lauren Taylor
Summary
I am a dedicated, resilient and approachable compliance professional, delivering pragmatic support that enables business growth while maintaining adherence to FCA Rules, Money Laundering Regulations and internal policies. With a First Class Honours degree in Psychology with Criminology, I have strong interpersonal skills, with proven success in positively motivating others to achieve results. I am passionate about learning, streamlining processes, problem-solving and employee well-being, with a strong commitment to Continuous Professional Development. I am eager to leverage my analytical capabilities and strong interpersonal skills to drive impactful contributions in future roles.
Overview
3
3
years of professional experience
Work History
Compliance Analyst
Computershare Investor Services
06.2025 - Current
- Providing proactive, risk-based compliance advice and second-line challenge to business stakeholders, supporting strategic initiatives, new product development and BAU activities whilst ensuring compliance with FCA regulatory requirements
- Conducting detailed regulatory analysis and horizon scanning against FCA rules, guidance and industry developments, identifying regulatory risks and recommending appropriate mitigating actions
- Ensuring adherence with regulatory obligations and internal standards, including FCA Principles, Consumer Duty, CASS requirements, Financial Crime controls and internal policies and procedures
- Directly supporting the development, authorisation and implementation of two new FCA-authourised UK entities, expanding high growth business from the US into the UK regulated market
- Corresponding directly with the FCA to answer authorisation queries, provide consultation responses on behalf of the firm and complete voluntary surveys to facilitate positive interactions with the regulator
- Responsible for timely regulatory reporting, producing and collating updates and MI to the Audit & Risk Committee, Board, and associated governance forums such as CASS, Conduct & Consumer Duty and Operational Risk Committees
- Conducting and presenting regulatory deep dives, emerging risk assessments and thematic reviews to Senior Leadership, Board members and Independent Non-Executive Directors
- Developing and delivering compliance training and awareness materials to enhance regulatory knowledge and promote a strong compliance culture across the business
- Completing policy development and periodic policy reviews, supporting SMCR governance arrangements, and driving the implementation of regulatory change initiatives across the business.
- Studying for the Investment Management Certificate awarded by CFA to expand my knowledge of Financial Services further
Senior Operations Associate
Hargreaves Lansdown
Bristol
09.2023 - 06.2025
- Completing thorough AML and KYC checks using third-party ID verifiers, ensuring adherence to FCA regulatory requirements whilst on-boarding and servicing high volumes of clients
- Conducted root cause analysis of client complaints to identify issues and implement effective process improvements
- Increased team accuracy scores across multiple processes by creating and presenting 'Best Practice' sessions
- Quality checking colleagues' work and providing constructive feedback to facilitate continuous improvement
- Commitment to identifying and implementing process improvements, such as utilising Excel to improve data extraction and reduce manual processing time
- Regularly contacting clients to resolve queries professionally using both verbal and written methods
- Working collaboratively with a range of internal stakeholders to resolve complex queries via phone (AWS), Salesforce, Outlook and Teams
- Gained thorough understanding of financial organisation and products, facilitating progression to Senior position within 6 months
- Developing, reviewing and delivering comprehensive training materials for new starters
- Selected as an Engagement Rep for the Team, actively engaging with Senior Management to support team engagement and wellbeing
Research Assistant
University of the West of England
Bristol
06.2023 - 08.2023
- Collaborated with the research lead to brainstorm ideas and develop comprehensive research plans
- Conducted literature reviews to identify the latest research in the field of study, allowing for informed decision-making on the research project
- Provided psychological perspective for qualitative research project on body image and language in GP communications with Centre of Linguistics
- Utilised graphic design skills to create engaging recruitment posters, aiding in participant recruitment
Supervisor
Mitchells & Butlers
Bristol
05.2023 - 09.2023
- Managed a diverse team and allocated roles based on individual skill sets, enhancing team efficiency and increasing customer satisfaction
- Developed and implemented training programmes for bar, kitchen and waiting staff, boosting customer service ratings
- Enhanced customer service and interpersonal skills by being the first point of contact when resolving guest complaints
- Ensured compliance with Food Hygiene, safety, and sanitation regulations by quality checking the procedures of bar and kitchen staff
- Organised monthly team meetings to discuss continuous improvements, customer satisfaction ratings, and staff incentives
- Actively developed strong relationships with local vendors to negotiate discounts and secure promotional materials, increasing sales and providing incentives for the team
- Reconciled daily revenues and expenditures utilising back office systems, facilitating the identification and resolution of discrepencies and errors
Education
A Levels - Graphic Design (C), Psychology (B), Photography (C), Biology (B)
New College Swindon
06-2018
GCSEs - 2 A*, 7 A, 2 B
St Johns Academy Marlborough
06-2016
BSc (Hons) - First Class Honours - Psychology with Criminology
University of the West of England
05-2023
Skills
- Customer Service
- Attention to Detail
- Teamwork & Collaboration
- Leadership
- Data Analysis - Excel & PowerBI
- Regulatory compliance
- Stakeholder engagement
- FCA & AML Compliance
- Regulatory reporting
Hobbies and Interests
- Player in Gloucestershire Women's Football League & Bristol Women's Casual League.
- Live Music & Photography
References
- Dr Kait Clark, University of the West of England: kait.clark@uwe.ac.uk
- Alice Carter, Hargreaves Lansdown: alice.carter@hl.co.uk
Timeline
Compliance Analyst
Computershare Investor Services
06.2025 - Current
Senior Operations Associate
Hargreaves Lansdown
09.2023 - 06.2025
Research Assistant
University of the West of England
06.2023 - 08.2023
Supervisor
Mitchells & Butlers
05.2023 - 09.2023
A Levels - Graphic Design (C), Psychology (B), Photography (C), Biology (B)
New College Swindon
GCSEs - 2 A*, 7 A, 2 B
St Johns Academy Marlborough
BSc (Hons) - First Class Honours - Psychology with Criminology
University of the West of England