MEET THE TEAM

Over 20 years’ experience in the financial industry from working for HSBC Global Asset Manager, Barclays Wealth, UBS, Close Brothers and FundRock Partners.

 

Experienced Oversight Asset and Wealth Management Specialist

• Advised various fund boards and asset managers on governance and regulatory risks

• Worked with Compliance, Risk and Internal Audit to reduce client detriment within wealth propositions and create good customer outcomes

• Process for matching the right level of product risk with the client level of risk (Stochastic modelling and Risk Tolerance Questionnaires)

• Practical application of regulation across a financial organisation to minimise risks and be compliant

 

Experience gained from sectors in:

• Asset Management

• Private Client Wealth Management

• Banking and

• Authorised Corporate Director (ACD / AFM).

 

Core experiences

• Front office controls in terms of Conduct Risk mitigation,

• Financial Advice,

• Investment, Performance and Investment Risk Management,

• Oversight and Due Diligence,

• Risk Management Policies, Procedures and Product Governance (fund and asset manager)

• FCA questions, investigations and application of regulations to BAU work, processes and procedures

 

Main knowledge:

• Investment and Implementation management (multi-asset class),

• Investment processes and multi-asset class propositions (UCITS, NURS and QIS.), 

• Monitoring, Operational Controls and Procedures to incorporate regulations, risk controls within asset managers to deliver compliant and value for money products and services

• Asset Manager and Fund Due Diligence

 

Product Governance: wealth management and banking products. Experience of product life cycle, oversight, MI and conduct risk identification when undertaking product reviews.  Includes product manufacturing in terms of investor profiles, target markets and complex V non-complex products.  

 

Key skill sets:

• Explanation of processes and procedures for ACD depositary reviews,

• Assisting asset managers with compliant fund procedures and COLL rules

• Advising Fund Boards on oversight, interventions and “IM challenge”

• Presentation of Investment performance and risk (KPIs and KRIs)

• Writing policy and procedures for investment and risk management

• Reviewing and making recommendations for Systems and Controls as per SYSC handbook

• Client relationship management (private clients, trusts and institutions)

 

Knowledge of: TCF, RDR, MiFID II, Asset Management Market Study, Value for Money and FCA Section 166