Lucy Dale
Preston,Lancashire
Summary
Experienced FCA-Regulated Compliance Officer within the Financial industry, specialising in regulatory compliant handling, and GDPR processes. Ensuring that protocol is adhered to and risks are always managed, finding the most effective and ethical solutions to problems. Comfortable liaising with clients and multiple departments to ensure a streamlined approach.
Overview
7
7
years of professional experience
9
9
years of post-secondary education
Work history
Compliance Officer
NCO Europe
Preston, Lancashire
03.2024 - Current
- Handling Complaints within an FCA-regulated environment, adhering to guidance and strict time frames.
- Ensuring that clear records of compliant activity are up to standard for auditing purposes.
- Acknowledging potentially vulnerable arears of compliance, to ensure risk management is improved.
- Maintaining professional standards when liaising with clients on a daily basis.
Customer service advisor
NCO Europe
Preston, Lancashire
11.2021 - 03.2024
- Communicated with customers who are facing financial difficulty through various means, such as phone, email and post.
- Assisted customers with vulnerabilities, such as mental illnesses or impacted physical health.
- Ensured that all customer queries were resolved calmly and efficiently.
- Ensured that FCA-regulated guidelines were adhered to.
Bartender
JD Wetherspoon
Preston, Lancashire
07.2019 - 11.2021
- Trusted with training new team members.
- Resolved conflict to lead to customer satisfaction.
- Built rapport with regular customers to foster a welcoming and warm environment
Education
Bachelor of Science - Forensic Psychology
University of Central Lancashire
Preston 09.2018 - 06.2021
A-Levels - Psychology, Maths, Applied Science
Cardinal Newman College
Preston 09.2016 - 06.2018
GCSEs - English, Maths, Triple Science
Ashton Community Science College
Preston, Lancashire 09.2011 - 06.2016
Skills
- Financial industry awareness
- Regulatory compliance analysis
- Anti-Bribery and corruption protocols
- FCA regulation understanding
- Complaint handling
- Knowledge of GDPR rules
Timeline
Compliance Officer
NCO Europe
03.2024 - Current
Customer service advisor
NCO Europe
11.2021 - 03.2024
Bartender
JD Wetherspoon
07.2019 - 11.2021
Bachelor of Science - Forensic Psychology
University of Central Lancashire
09.2018 - 06.2021
A-Levels - Psychology, Maths, Applied Science
Cardinal Newman College
09.2016 - 06.2018
GCSEs - English, Maths, Triple Science
Ashton Community Science College
09.2011 - 06.2016