Kim Moss
Posted By Kim Moss
13/12/2021

Monday

I’ve been working in compliance for the past 6 years and currently work part-time.

Today I have a day off, so no work and, as it’s the school holidays, I have my 7-year-old daughter to amuse!

With the weather being a little wet, we decided to head into the city to see Dippy in Norwich Cathedral and spot some of the dinosaurs on the GO GO Discover trail.

Tuesday

Today I’m in the office with lots of work to do.  I start my week by going through everything I have pending, updating my spreadsheet with anything that needs adding to ensure I know what my immediate tasks for the week entail (basically... lots to do!).

This week I have the following tasks on my list (not including any new work that lands on my desk):

  • 1-2-1's: August is the month our Managing Director, Stephen Girling, completes his 1-2-1’s with our Wealth Managers, so today I ensure all documents are ready for any upcoming meetings this week and and the documents are electronically filed for any completed meetings.  Completed documents are sent out to the Wealth Managers following their meetings, to ensure they are happy that these reflect everything discussed and noted.
  • I am Chair of our Corporate Social Responsibility (CSR) committee and, as this year is our 20th anniversary, we’re arranging a staff party in September to celebrate.  I’m very excited to be part of helping to plan this great event and today I spoke to the caterer and venue to finalise some details.
  • I also sent a picture I took over the weekend of myself in my Benjamin Foundation running vest to our Marketing & Communications Manager, Helen Tavner.  The Benjamin Foundation is one of the various charities we currently sponsor, and I’ve agreed to run the Gear 10K on their behalf to raise money for them, so Helen will be using my picture to promote the run and publicise our support of the charity.

I contacted the Financial Conduct Authority (FCA) to try and help one of our Wealth Managers with an issue that was raised whilst I was out of the office.  This entails me logging into the FCA system to research whether I could resolve the particular issue online but, ultimately, I need to phone them to solve it.

We’ve recently been looking at our standard ‘Client Agreement’ documents to see where and how we can make improvements so my last job of the day, before I head off to collect my daughter, is reviewing the latest changes. I’d already received feedback from our Chief Operating Officer Tina Smiddy and one of our Wealth Managers, so this afternoon I sat with Tina to talk through the further amendments that need to be made and also some more work for me to complete on the agreements.

We have a lovely evening bowling with friends – I’m rubbish at bowling, but the kids had a great time and we all enjoyed dinner at Bella Italia afterward.

Wednesday

As it’s the school holidays, I have a day’s holiday, so myself and my daughter spent the day at the local broads, enjoying the sunshine, playing in the park, and feeding the ducks.

Thursday

I’m in the office today and have a busy day ahead.  First on the agenda is catching up with my emails and seeing if any urgent work which needs to be prioritised has come through after my day off.

My first meeting of the day is with Helen Tavner, regarding our party planning to agree on some of the finer details. There are lots to do and our Event Plan is looking busy!

I’m then straight into my next meeting with our IT Manager Jason Dorsett, so he can show me how to set up all the necessary documentation for the projects I’m managing through our Central Services Team.  This process helps me get this underway and identifies who I need to involve in supporting me on a particular project. Organisation is the key!

For the rest of my day, it is mainly back to the 1-2-1’s for August again and getting all the paperwork ready for next week.

Friday

I’m working from home today and luckily I have a clear calendar and no meetings, so I can concentrate on getting everything finished before I have a week off.  My main tasks today are getting some important documents ready and approved for next week’s board meeting so we can send them off to the FCA before our set deadline.

Then I finished off the last of the 1-2-1’s for August so that Stephen has everything we need to complete these meetings whilst I’m off.  The next job of the day is to go through our client list from a compliance perspective, to ensure that I’m happy with the fund holdings and that nothing stands out which I need to investigate further.

The last job of the day is checking through the rest of my work and making sure nothing else is urgent and can wait until I am back and I’m pleased to say everything is in order - and I can relax on my work off with my family on the Welsh coast!

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