Organizational Structure Overview of a Compliance and Sales Company
Explore the detailed organizational structure of a compliance and sales company, including key roles such as CEO, MD, Directors, Managers, and Team Members responsible for audits, file checking, supervision, development, applications, commissions, novations, and accounts. Gain insights into the hierarchy and responsibilities within the company.
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Presentation Transcript
STRUCTURE DIAGRAM Martin Wilson CEO Adam Stretton MD Tania Stretton Director Ben Allen Nicola Ventrella Operations Director Amanda Wilson Director Compliance Director
Audit Team Adam Stretton MD Ben Allen Compliance Director Maxine Levers-Riley Robin Pearson Angela Martin Greig Portingale Currently interviewing for a 5th CM Compliance Manager Compliance Manager Compliance Manager Compliance Manager Responsible for: Carrying out the training and competence scheme Conducting Risk and Audit assessments Competency
File Checking Team Adam Stretton MD Ben Allen Compliance Director Cheryl Hughes Head of File Checking Naomi Kane-Brooks Mark Fazakerley Ben Kosol Leena Mistry Jeril Kottarathil Patrick Gould Trainee Compliance Officer Compliance Officer Compliance Officer Compliance Officer Compliance Officer Compliance Officer Responsible for: Carrying out risk based file assessments Call monitoring for non-face to face sales
Supervision and Development Team Ben Allen Compliance Director Aidan McCarthy Pukhraj Babra Supervision and Development Manager Supervision and Development Manager Responsible for: Overseeing the supervision scheme Trainee Development
AR/DA Sales Team & Customer Service Team Martin Wilson CEO Amanda Wilson Board Director Kim Lissner Kevin Williams National Account Manager Simon Thomas Kim Lissner Hedd Richards National Account Manager National Account Manager/Head of DA National Account Manager Roisin McGrath Adviser Development Co- Ordinator Chelsea Kiefert Business Development Manager Amy Wilson Marketing & PMI Coordinator
APPLICATIONS Ben Allen Compliance Director Yvette Alcock Applications Manager Jack Norrey Applications Underwriter
COMMISSIONS, NOVATIONS & ACCOUNTS Adam Stretton MD Kevin Dennis Jade Claxton Head of Commissions Finance Manager Mark Lee Katie Byrne Heather Baker Matthew Salmons Shahana Yaseen Business Support Stats & Novations Accounts & Commissions administrator Accounts & Commissions administrator Accounts & Commissions administrator Accounts & Commissions adminstrator
MARKETING & PROVIDER RELATIONSHIPS Tania Stretton Martin Wilson Anita White Head of Lender Relationships Matthew Albutt Digital Marketing Executive Katey Field Graphics & Marketing Executive
HR/OPERATIONS/EVENTS Tania Stretton Operations Director Eva Stenson Operations & HR Assistant
SYSTEMS, IT AND TRAINING Adam Stretton MD Katey Field Graphics & Marketing Executive Matthew Albutt Digital Marketing Executive
