R Lead Compliance Officer Lead Reggie Runs the room. Keeps the calm. “Two items for your review this morning — both low-risk. Happy to auto-approve on your word.” Open dossier→ R Risk Coordinator Rico Reads the register against the team. “The risk register has 14 entries. Three are overdue review by more than 90 days; one has no owner since the last…” Open dossier→ M Filings & Board Reports Analyst Max Drafts the returns whose forms RegForge holds. Never submits. “RMAR due 31/07/2026 — period ended 30/06/2026. Draft prepared for RMAR for period ending 30/06/2026 — due…” Open dossier→ F CDD & Client Onboarding Analyst Frank Chases the last document. Politely. “I track where every client sits in the CDD lifecycle, and the moment one stalls on a missing document I draft a…” Open dossier→ F Whistleblowing & Conduct Integrity Officer Finley Holds the line. Protects the reporter. “Case W-2026-0009 · severity: regulatory breach · acknowledgement drafted within 1 business day · investigation…” Open dossier→ M Training & Competence Officer Marco Tracks every qualification. Chases every renewal. “3 qualifications expiring inside 90 days (CISI Investment Advice Diploma — three advisers); 7 staff overdue on the…” Open dossier→ B Board Secretary Bryn Keeps the record. Chases the action. “Four meeting actions overdue: 2 with Hana, 1 with Oliver, 1 unassigned. The 6 March audit committee minutes are…” Open dossier→ C Conduct Risk & Culture Officer Cassian Maps the rule. Phrases the call. “Three low-severity COCON 2 breaches by SMF7 in the last 6 months — pattern flagged under SYSC 4.1.1R. Drafted the…” Open dossier→ S Customer Support Analyst Sam Answers what they can. Escalates the rest. “I can answer this one — you're asking how to add a second brand. Here's the 3-step flow, and I've cited the…” Open dossier→ R Document Retention Officer Reuben Maps every file. Proposes every batch. “Forty-seven documents past their retention boundary on file: 38 SAR-related at MLR-5y, 6 CASS reconciliations at…” Open dossier→ T Outsourcing & Third-Party Risk Officer Theo Never lets the exit plan go stale. “Material outsourcing review for CloudVault Ltd is due in 12 days. Drafted the SYSC 8.1.7R review pack covering all…” Open dossier→ S Suitability & Consumer Duty Officer Sienna Never approves. Always assesses. “A joint account holder's annual review is due in 41 days. Current allocation sits at 62% equity — within the IPS…” Open dossier→ O Policy Drafter Oliver Drafts policy. Cites the handbook inline. “Based on SYSC 6.1.1R and the Financial Crime Guide §3, I've drafted an update to the Compliance Policy §3 that…” Open dossier→ G Complaints & Consumer Duty Analyst Grace Reads for root cause. Writes the letter. “Outcome: complaint upheld. Redress £450 paid on 12/03/2026. Root cause: suitability assessment missed the client's…” Open dossier→ P Periodic Reporting & Prudential Officer Priya Reads MIFIDPRU 7 like a checklist. “The firm's ICARA assessment is 11 months old — board cycle is approaching. I've drafted the business-model risk…” Open dossier→ O Financial Promotions Officer Oscar Reads every promo. Cites COBS 4 inline. “Promotion P-2026-0042 · ISA · COBS 4.2 ✓ balanced · COBS 4.5A ✗ risk warning missing — drafted the inserted line,…” Open dossier→ M AML & Sanctions Analyst Maya Built to screen against the UK Sanctions List; paused on this platform. “Screening on this platform is paused until the official-list check is restored. I never report 'no match' from a…” Open dossier→ J Personal Account Dealing Officer Jade Pre-clears every trade. Watches the windows. “Every personal-account-dealing request runs through the restricted list, the watch list, blackout windows and…” Open dossier→ H SM&CR Analyst Hana Keeps the calendar. Owns the roles. “I keep your SM&CR calendar — the next Fit & Proper renewal is always one click away, drafted against FIT and SYSC…” Open dossier→ N Regulatory Horizon Analyst Neil Reads overnight. Tells you what changed. “For example: when the FCA consults on price-and-value expectations under Consumer Duty, I flag that two of your…” Open dossier→ I Vulnerable Customer Champion Iris Listens first. Drafts the conversation. “Three clients with active vulnerability indicators are due for re-review this week. I've drafted a check-in note…” Open dossier→ E ESG & Sustainability Disclosure Officer Eden Reads every claim. Cites the evidence. “Product GR-IF-04 · sustainability-focus label · 3 of 4 SDR evidence pillars in place — drafted the consumer-facing…” Open dossier→ I Conflicts & Inducements Officer Ines Disclosure first. Then mitigation. “Two outside business interests on the COI register lapsed their next review last week. One sits with an SMF — I've…” Open dossier→ C Client Asset Specialist Cass Pedantic about CASS. Never declares compliance. “Three things on the CASS picture: HSBC trust-account reconciliation is 47 days old (past the weekly cadence —…” Open dossier→ G Pre-submission Auditor Gabriel Verify twice, file once. “I tied out 47 line-items on the Q1 DISP RMA-G draft against the case-management system: 44 reconcile, 2…” Open dossier→ R Operational Resilience Analyst Ren Maps dependencies. Tests the scenarios. “Retail online banking has no mapping recorded. SYSC 15A.5.4 requires identification of the systems, suppliers, and…” Open dossier→ B Best Execution Specialist Bex Evidences the policy. Never claims the trade. “The policy review for FY ended 31 March is 412 days old — past the COBS 11.2A.25R annual cadence. I've drafted the…” Open dossier→