Sophia Butler

Providing ongoing support of Operational Excellence projects throughout Operate Belfast, typically including improvement projects, perform plus methodology coaching, problem solving and all other tasks below:

• Identification and management of improvement projects.
• Evaluate feasibility of improvement projects.
• Reviewing business improvement activities progress and report on a regular basis.
• Facilitating events as required to accelerate the identified improvement projects.
• Establishing the root causes of issues and corrective actions. Supporting and advising teams on Operational Excellence and Business Improvements.
• Helping teams understand their own issues / opportunities and how to resolve them. Achieved through educating, coaching, challenging and expanding perspectives.
• Pursuing opportunities to develop existing and new skills outside of comfort zone.
• Coaching others and encouraging them to take ownership of their development.
• Analysing complex ideas or proposals and building a range of meaningful recommendations.
• Using multiple sources of information including broader stakeholder views to develop solutions and recommendations. Managing a variety of viewpoints to build consensus and create positive outcomes for all parties.
• Supporting the transition of new contracts from existing client functions to our Managed Services model ensuring adherence to the Delivery Office frameworks and governance structures.
• Contributing to the creation and providing best practice challenges to Managed Services processes.
• Supporting implementation & improvement of workflow and work management tools. Focusing on building trusted relationships.

- Team Lead
- Driving team performance
- Driving efficiencies
- Managing team's workload
- People management
- Absence management

Impact:

- The team hit expected KPIs (quality, production, SLAs)
- The performance and efficiency of the team led to no backlog of cases and achieving the agreed Client SLAs

• Working as a Team Lead on a KYC wealth remediation project for a commercial bank. The Team were tasked with performing client remediation tasks, reviewing the customers of the client and mitigating any possible risk.
• Drive individual and team performance through effective goal and target setting using performance management techniques to improve output and quality standards within the team.
• Employ operational methodologies, ensuring teams are equipped to successfully meet their own personal as well as team objectives.
• Work with other team leaders and engage with individuals across the broader team to identify and support process improvement, staff engagement and consistency.
• Engage with client teams (for example Business Teams and Middle Offices), as well as customers of our clients.
• Identify areas for development and work with our training team to implement bespoke training quickly so that these needs are addressed and performance is enhanced.
• Provide regular feedback on performance, based on feedback from a broad range of stakeholders, making sure you recognise strong and improved performance.
• Drive operational discipline within your own team to instil good behaviours in line with PwC's policy and procedures.
• Review process flows and individual performance to identify potential risks/issues to output/quality and recommend solutions to mitigate/address

• Working on Institutional Client Projects to provide KYC services - Primarily working within the KYC Refresh of existing Clients.
• Team Lead and Manager within the Outreach side of this project, working directly with our Client's stakeholders as well as their direct clients.
• NAM Fleet head, collating and providing updates directly to the client regarding progress and stats within population.
• Previously placed in the Completions stage of the Refresh, working as APAC/ EMEA High Risk specialist, "Subject Matter Expert" regarding Policy and Regional Application of requirements, as well as Peer Reviewer and Trainer within the wider team.
• Culture Head for office location for project, instilling the Company's core values and social responsibility commitments to the employees as well as community surrounding the Company.

• Ensuring the Senior Management Team is aware and advised on compliance issues which include legislation, regulations, relevant rules, standards and recommendations to best practice.
  
• Creating a policy and procedure structure for the credit union which will then result in the overhaul and update of training for all staff members and to ensure the on going monitoring of this process - in conjunction with meeting audit requirements and the expectations of the PRA and other financial regulators who oversee the credit union.
  
• Oversight of all staff to ensure daily operations are correctly run and in line with policies and processes.
  
• Pastoral support for staff as well as day to day management of the office, assessing weekly targets to ensure we are meeting the needs of the clients and discussing and planning how to progress for the next week.
  
• The development and management of compliance systems and controls, evidencing that the firms' approach is member centric and assesses on-going effectiveness with the relevant regulation and legislation, and regulatory guidance.
  
• To maintain a watching brief over emerging regulation and to monitor the implementation of appropriate policies and procedures building in a review process to ensure this is kept on the radar of all staff.
  
• To recommend and comment on policies, guidelines, rules and procedures for compliance issues with a member centric approach.
  
• To support both the Directors and CEO in building strong and durable relationships with the regulators and to help facilitate regulatory visits, not limited to :
  Development and management of the Compliance Monitoring Plan, taking into account forthcoming compliance issues and horizon scanning.

• Assist in identifying possible conflicts of interest for new business to the firm.
• Ensure that clients accepted are appropriate for the Firm .
• Verified that our Standard Terms of Engagement are in place with the client and ensure compliance with Firm policies and procedures.
• Confirm that all client/matter information recorded in the Firm's central records is accurate.
• Assist Partners in complying with ethical and legal duties to avoid conflicts of interest and in meeting professional responsibility obligations.

• Review of automated suspicious activity alerts and reports made by Internal staff and determine whether further investigation is required or the information should be escalated for potential disclosure to the National Crime Agency (NCA).
  
• Review, approval and submission of any disclosures required in relation to the investigations completed by Operational Hubs.
• As and when required, the review and approval of KYC for high-risk customers to ensure that it is complete and accurate.
• Assist in enhanced due diligence as and when requested by the business or when required in a higher risk situation.
• Maintain group records and provide management information relating to AML investigations as required.
• Liaise with the UK Nominated Officer to ensure that identified suspicions are considered for escalation.
• Ensuring knowledge of relevant legislation is applied - especially due to cross border global clients. Specialising specifically in UK, European and US legislation with regards to Anti-Money Laundering.
• Subject Matter Expert with regards to the application of the above legislation working with our global teams to ensure full application and coverage of rules and regulations.

• Work with the Compliance and business Subject Matter Experts to review all processes to identify key risks and agree on the monitoring required to address these risks.
• As well as completing the monitoring I assist in the creation of a mechanism for reporting findings to senior management and work with the business to resolve issues that arise.
• Responsibilities include maintaining and mapping the life cycle of products and processes to identify key risks;
• Document issues and work with the appropriate stakeholders to ensure that issues are resolved within agreed timeframes;keep abreast of regulatory changes to ensure monitoring remains relevant and appropriate.
  Achievements
• Worked closely with Product Compliance to ensure the creation of new monitoring routines to ensure that Prime Finance was up to date with regulatory requirements and ensured they proactively where covered due to research into news stories other relevant events.
• Regularly took part and created knowledge sharing presentation on topics such as MiFiD II and other topics to ensure the full team and myself were aware of requirements.
• Took part in regular audits to demonstrate the controls and oversight over the businesses.
• Complete regular and ad hoc investigations on trades conducted by the business and also ensure compliance with CASS rules.

• Support the Personal Account Trading group on a day to day basis to ensure all BAU activities are completed accurately and to the highest standard.
• Act as a point of contact for the PA trading group around activities such as the firms local Employee Trading Policy and Outside Business Interest Policy.
• Ensure requests for data from local and regional Compliance officers are dealt with in an efficient and timely manner.
• Ensuring the proactive identification and resolution of compliance risk and control issues identified daily.
• Investigating and resolving compliance and regulatory issues arising from surveillance monitoring.
• Collaborate and partner closely with global colleagues and the Surveillance groups to raise and resolve items identified as possible risk to the firm.
• Present suggestions for enhancements and identify areas for improving the current BAU process and procedures.
• Assisting Team Leader with project work which may include process
  refinement, implementing new systems and assisting with system testing.
• Working closely with the Firm's Global Legal and Compliance teams,
  particularly with regards to communication of apparent anomalies, conducting special investigations and responding to PA and Outside Business activity queries