Good with Microsoft products including Excel
Nikhil Kalia
Compliance Manager
Tamworth
Summary
Compliance Manager focused on minimising company liability by keeping all records, processes and training in full compliance with established standards and legal requirements. Quality-driven and hardworking with proven skills in spotting issues, developing resolutions and implementing corrective actions.
Overview
11
11
years of professional experience
10
10
years of post-secondary education
Work History
Compliance Manager
888 William Hill
09.2022 - 02.2024
- Provided expert advice to senior management on potential risks, legal implications, and recommended solutions for complex compliance issues such as ASA breaches.
- Experience of dealing with international departments/markets and dealing with colleagues from head office of Israel and also Philippines, Gibraltar, Ireland, as well as UK teams.
- Responding to ASA complaints providing full defence on why we hadn't breached any regulations. With 100% success rate which assured company reputation remained intact.
- Managed a team of four direct reports, providing guidance, coaching, mentorship, and support to ensure their continued growth and development as well as regular 121s, appraisals.
- Within my team it included providing 121 sessions to direct reports where they were new to business getting them up to speed with regulations and carrying out monthly compliance reports.
- Evaluated third-party vendors' adherence to applicable laws/regulations before engaging them as partners or service providers for the company's projects.
- Developed comprehensive training programs for employees, fostering a culture of compliance throughout the organisation. This ensured a compliance first approach and basic knowledge of what is and is not compliant.
- Improved communication channels between departments by establishing regular meetings and reporting structures related to compliance matters.
- Carrying out of quarterly audits on relevant marketing areas to ensure all areas were compliant with policies and procedures in place.
- Reduced risk exposure for the company by identifying and addressing areas of non-compliance. This could be via audits or monitoring using third party systems.
- Collaborated with cross-functional teams to establish clear compliance guidelines and expectations for all departments. As well as building key relationships across the business.
- Strengthened company-wide awareness of relevant laws, regulations, and industry standards through targeted trainings, presentations, and ongoing communication efforts.
- Succeeded in maintaining positive relationships with regulators through proactive engagement and timely responses to inquiries.
- Managed investigations into potential violations of laws or regulations, ensuring swift resolution and corrective actions when necessary.
- Supported implementation of new regulations within the organisation by developing strategic plans and action items for each department.
- Streamlined compliance processes by implementing efficient monitoring systems and tools.
- Delivered subject matter expertise for internal and external customers on compliance best practices and quality control.
Financial Ombudsman Investigator
Financial Ombudsman Service
05.2013 - 09.2022
- Investigated financial complaints from a variety of insurance, banking, consumer credit and investment areas.
- Substantiated validity and admissibility of evidence and preserved data integrity for views in-line with DISP, CONC, ICOBS and BCOBS rules.
- This included looking at vast amounts of sensitive data. Going through terms and conditions, phone calls, emails, letters to decipher what was important to the complaint points at hand and reaching fair outcomes.
- Dealt with own caseload of around 30 cases at any given time and had to resolve those complaints within ADR timeframes.
- Required to maintain and keep good relationships with all customers whilst remaining impartial at all times to ensure a fair and reasonable approach. This included providing difficult outcomes to customers in an empathetic and sensitive way.
- Supervised, mentored and motivated investigators and collaborated with personnel to identify strengths and areas of weakness and delivered training for over 200 new starters across London and Coventry offices.
- Specifically chosen to play major role in setting up of new offices in Coventry for over 150 new starters, which included adapting new systems, training of policies and procedures.
- Within this role I looked after 15 new starters every six months in which training, 121 coaching and feedback was provided. i also carried out managerial responsibilities with regular 121s every month and dealt with appraisals.
- Trusted to run weekly case clinics where investigators would come for advice and support for their own cases. This required me me to go through the consumer's complaint points and guide the investigator to the right outcome by sharing my knowledge and expertise.
- I worked on innovative ways to reduce backlogs and speed up the process of complaints being resolved and I was part of the first pilot group trialing new and more efficient ways of working. After a successful pilot I was responsible for rolling out the new ways of working to the organisation.
- I worked closely with Ombudsman, as well as drafting final decisions for multiple Ombudsman which are legally binding documents.
- I dealt with many vulnerable customers to ensure a careful approach was taken with the flexibility of adapting to each customers specific needs.
- Within my role I was required to keep up to date on all policies, rules, regulations and statutes.
- Developed and delivered numerous training programs to inform new and current employees about new issues or regulations ensuring we were compliant.
- Prepared and presented comprehensive reports to senior management and stakeholders, covering issues and recommendations.
- Delivered subject matter expertise for internal and external customers on regulation best practices and quality control.
Equality and Human Rights Adviser
Sitel (Equality Advisory Support Service)
09.2012 - 05.2013
- Increased customer satisfaction by resolving issues.
- Actively listened to customers' requests, confirming full understanding before addressing concerns.
- Offered friendly and efficient service to customers, handled challenging situations with ease.
- Interpreted laws, rulings and regulations for individuals and businesses.
- Advised clients on legal matters such as Human Rights and Equality Act 2010.
Education
Bachelor of Law - Law
Nottingham Trent University
Nottingham 10.2008 - 07.2012
A Level - Economics, Psycholgy & Sociology
Myton School
Warwick 09.2006 - 06.2008
GCSE - 9 GCSE's Including Maths & English
Myton School
Warwick, UK 09.2001 - 06.2006
Skills
Regulatory Documentation
Information Gathering
Audit oversight
Training development
Training Coordination
Compliance Monitoring
Staff Training
Influencing skills
Excellent Communication
Problem-Solving
Training delivery
Team building
Attention to Detail
Accomplishments
I was the first member of my family to attend higher education and go to university.
During my younger years I represented my Warwick at district level in cricket even having trials for Warwickshire.
Transferred from the London office to help set up the new office in Coventry. Actively played a huge role in devising the training and delivering the training to all new starters. In turn all the new starters were able to pass probation.
Building relationships with the new stakeholders in the new office and playing a big role in the start up of the new office.
Software
Timeline
Compliance Manager
888 William Hill
09.2022 - 02.2024
Financial Ombudsman Investigator
Financial Ombudsman Service
05.2013 - 09.2022
Equality and Human Rights Adviser
Sitel (Equality Advisory Support Service)
09.2012 - 05.2013
Bachelor of Law - Law
Nottingham Trent University
10.2008 - 07.2012
A Level - Economics, Psycholgy & Sociology
Myton School
09.2006 - 06.2008
GCSE - 9 GCSE's Including Maths & English
Myton School
09.2001 - 06.2006