Catherine Shakespeare

Role Profile: Provide support and guidance to first line business areas including the Group Privacy Office and the Data Rights team to ensure compliance with the Data Protection Regulation.

Achievements:

• Assist teams across the bank in comprehending regulatory obligations under the data protection and privacy laws.
• Monitor compliance with data protection obligations.
• Facilitate data protection training sessions to enhance staff knowledge and compliance awareness.
• Supported colleagues in assessing data breaches through thorough incident investigations and effective coordination of responses with business units and the data protection committee.
• Conduct assessments of data protection artefacts, including data protection impact assessments (DPIAs).
• Identified process improvements, reducing inefficiencies in workflow.
• Implemented procedures and policies to ensure compliance with data protection regulations.
• Provided compliance updates regarding status of regulatory requirements, ensuring all relevant parties are informed.
• Serve as a contact point for supervisory authority and data subjects.

Role Profile: Managed Upstream Team monitoring Regulatory Horizon (Conduct, Prudential, AML & Data Protection) identifying and assessing upcoming regulations on Bank.

Key Achievements:

• Enhanced Upstream and Regulatory Change team by developing procedures, processes, and documentation for effective role execution.
• Collated and produced data for reporting for the senior management, board and subsidiaries of the bank agreed timelines.
• Supported new colleagues by providing essential tools and resources for successful integration into their roles.

• Led DPO team in providing support and guidance to first line business areas, including group privacy office and data rights team, ensuring compliance with data protection regulations.
• Implemented compliance advisory methodology, contributing to enhanced operational efficiency within team.
• Mentored colleagues in data protection roles, fostering a knowledgeable and skilled workforce.

Role Profile: Provide support to business areas by providing relevant, consistent and timely regulatory advice.

Key Achievements:

• Advised business areas on regulatory queries through effective management of Compliance Advisory Mailbox.
• Represented Compliance at monthly business area risk forums to ensure alignment on compliance matters.
• Review and challenge of Group Product and Proposition papers, Risk Assessment templates
• Developed and provided management information on team performance to inform decision-making.
• Co-ordinated the review and completion of Ilearn courses
• Supporting Senior Management on any adhoc requests

Role Profile: Built a comprehensive Mortgage Assurance Plan confirming the end-to-end UK Mortgage life cycle had sufficient operational controls in place and robust against the known Risks.

Key Achievements:

• Delivered assurance to Senior Management Team on effectiveness of controls in mitigating identified risks.
• Conducted walkthroughs of various business areas throughout the mortgage life cycle, verifying robustness of risks and controls.
• Assisted mortgage business (Mortgage Products) in enhancing risks and controls during quarterly risk assessments.
• Support Senior Manager in achieving operational Risk and Regulatory Compliance obligations
• Participated in the selection of External vendors with the task of carrying out reviews

Role Profile: Support Retail Business through Risk Management which involves managing a team completing Quality control checks of documentation (CCMA, CPC) prior to issuance.

Key Achievements:

• Led and motivated the Retail Business Risk and Control QC team (7 staff) in line with the client’s requirements and meeting all Service level agreements (SLAs) and dedicated targets
• Developed and implemented robust processes and procedures to enhance team productivity while managing operational risk appetite and ensuring compliance with relevant legislation and regulatory codes including DPA, CCA, CCMA, and CPC.
• Business Continuity Co-ordinator - ensures all Business Continuity plans are reviewed and delivered within timelines
• Successfully encouraged teams to complete tasks to the highest standard within agreed timelines in accordance with code compliance
• Integrated departmental objectives into individual team objectives and monitored performance through monthly one-on-one meetings.
• Nurtured and promoted staff by mentoring and developing them to achieve their full potential aligned with individual and team objectives.
• Led colleagues to achieve collective performance goals, resulting in positive outcomes in Employee Engagement Surveys for 2012 and 2013.
• Managed underperformance to ensure Divisional and team objectives are delivered

Role Profile: Managed day-to-day Operations of Inbound/Outbound Telephone and Administration Teams for Client within the Arrears Support Unit.

Key Achievements:

• Led and motivated a team (25 staff) through the client’s requirements and meeting all Service level agreements (SLAs) and dedicated targets;
• Introduced and monitored service levels within incoming and dialler (outbound) teams. Created a framework and monitoring structure for service levels within each team.
• Developed and implemented processes and procedures within the Team, outlining daily tasks with robust controls to maximise productivity whilst managing within operational risk appetite.
• Compiled and delivered weekly and monthly senior management reports, detailing key activities, ongoing projects, and identified risks, facilitating informed decision-making and improvement initiatives.
• Trained staff re-deployed from Asset Finance/Home Loans into Collection teams
• Contributed to project discussions by providing insights and feedback.
• Project Managed Resources & Capacity
• Managed end-to-end new entrants for all new Business across all client accounts, ensuring colleagues moving to Business Clients are compliant with the MCC and F&P framework.
• Liaison with HR, to arrange interviews and scheduling of new candidate joining the division.
• Met with Finance Dept monthly, discussing the results of the Head count against Financial Budgets for the division.
• Building Organisation Charts for Retail Division and Client, circulating them to Senior Management
• Participated in projects by collaborating with project management department on new change requests and service orders, including writing scripts, conducting UAT testing, and cross-training colleagues on new processes.

Role Profile: Led the Customer Services and Stocking Teams within Asset Finance (New Business division).

Key Achievements:

• Managed the Retail Motor/Commercial stocking facilities ensuring all facilities were running according to the facility agreement along with escalating any breaches
• Managed new/used Motor/Commercial stocking facilities, ensuring maximum controls were consistently implemented to safeguard compliance with facility agreements.
• Consistently reviewed processes and procedures identifying tighter controls to ensure no gaps occurred in relation to stock audits, replacements stock and funds disbursed.
• Recorded, monitored and reviewed resolution of customer complaints, analysing root causes and conducting quarterly reviews of impacted processes to identify and implement improvements, reducing recurrence of errors.
• Produced & contributed to the capacity plan across Asset Finance, taking responsibility for sufficient resource managements within Customer Service
• Continually monitored agreed service level for data enter on proposals whilst ensuring correct documentation was issued to customers with agreed timelines
• Integrated departmental objectives into individual team goals, monitoring performance through monthly 1-2-1 meetings and implementing tracked actions for continuous improvement.
• Setup the new Administration, Inbound Phone and Field Force Management Teams. Tracked daily Customer Services tasks, including customer account management, administration and customer contact, to ensure within agreed service levels
• Monitored service level for data entry on proposals and ensured correct documentation issuance to customers within agreed timelines.

Role Profile: Data Entry / Customer Services

Achievements

• Assisted with entry of customer data for finance requests.
• Supported preparation and coordination of documentation for finance applications and ensured issuance to vendors.
• Conducted outreach to vendors to introduce new business opportunities.

• Worked in the Banks Clearing Dept. to process customer cheques lodged at the Banks branches.