John Flynn Email & Phone Number

Stratford-Upon-Avon

Responsible for compliance, anti-money laundering and training & competence.

London, United Kingdom

Provide consultancy for new investment manager start-up and am a Non-Executive Director for the company.

London, Manchester, Zurich

Assisting in setting up an Investment Management company due to launch in early 2015

London, United Kingdom

Oversee Investment Management, Dealing and Operations for Barnett Waddingham Investments LLP's discretionary investment management service. Authorise trading decisions across all 4 of the firm’s model portfolios and directly responsible for the management of the firm’s Balanced model portfolio. Carry out investment research and draft trade proposals. Buy and sell investments, including equities, bonds, ETFs and funds using a third-party dealing platform. Supervise the managers of the… Show more Oversee Investment Management, Dealing and Operations for Barnett Waddingham Investments LLP's discretionary investment management service. Authorise trading decisions across all 4 of the firm’s model portfolios and directly responsible for the management of the firm’s Balanced model portfolio. Carry out investment research and draft trade proposals. Buy and sell investments, including equities, bonds, ETFs and funds using a third-party dealing platform. Supervise the managers of the Research Team and the Dealing and Operations team. Member of Barnett Waddingham Investments LLP’s Governance Group and the Investment Committee of the parent firm, Barnett Waddingham LLP. Show less

London, United Kingdom

Compliance Officer and MLRO for 3 FSA (now FCA) authorised firms. Responsible for the management of Compliance, Training & Competence and Risk Management throughout the group. Manage the relationship with the FSA and responsible for ensuring regulatory reporting and returns are accurate and submitted on time. Responsible for risk management of all parts of BW group, including conducting risk assessments, providing help and support and dealing with Professional Indemnity Insurance.

Hemel Hempstead, United Kingdom

Responsible for administration, client care, compliance and IT at a practice within the St James's Place Partnership. This included managing the administration and sales force. Assisted in providing appropriate solutions to clients particularly with regard to the feasibility of proposed pension transfers and recommendations involving surrendering existing investments. Responsible for management of data held about clients and prospects and ensuring compliance with the Data Protection Act. Acted… Show more Responsible for administration, client care, compliance and IT at a practice within the St James's Place Partnership. This included managing the administration and sales force. Assisted in providing appropriate solutions to clients particularly with regard to the feasibility of proposed pension transfers and recommendations involving surrendering existing investments. Responsible for management of data held about clients and prospects and ensuring compliance with the Data Protection Act. Acted as Company Secretary for the firm. Show less

London, United Kingdom

Board Director responsible for Operations, Compliance, Training & Competence and IT at an Independent Financial Advisers. Responsible for the administration of the business, and the implementation and maintenance of the IT systems of the company including the office network and all hardware and software. Acted as Compliance Officer, Training & Competence Officer and MLRO and held the relevant Controlled Functions with the FSA. Assessed advertisements and other marketing material to ensure… Show more Board Director responsible for Operations, Compliance, Training & Competence and IT at an Independent Financial Advisers. Responsible for the administration of the business, and the implementation and maintenance of the IT systems of the company including the office network and all hardware and software. Acted as Compliance Officer, Training & Competence Officer and MLRO and held the relevant Controlled Functions with the FSA. Assessed advertisements and other marketing material to ensure compliance with financial promotions rules. Ensured compliance with the provisions of the Data Protection Act Show less

London, United Kingdom

Responsible for implementing and updating the company compliance procedures as well as general office management and IT duties. Responsible for monitoring advisers competence and establishing a Training & Competence framework.

London, United Kingdom

Graduate Trainee role included basic office administration and learning about and becoming qualified in Financial Services.

Bachelor Of Arts (B.A.), Political Science And Government, 2:1

3 A Levels

9 O Levels