• 34 years of experience in the investment industry as Head of Investment Operations, Compliance/Risk Consultant/Manager, Administration Manager and administrator• Intelligent, organised, extremely competent and hard working• Good team player with excellent communication skills, both written and oral• Enjoys taking initiative and adept at multitasking• Excellent time management skills with the ability work under pressure and complete works required in an environment heavily dictated by regulatory change and deadlines• Exceptional ability in managing and building teams and relations with both internal and external stakeholders Very strong understanding and experience of FCA requirements covering Principles, SYSC, SMCR, COBS (Client Agreements, Dealing and Managing, Suitability), CASS (6, 7, 8 and 10), complaints and breaches together with the history of industry changes.Extensive experience and knowledge of:performing targeted and thematic reviews especially in respect of Dealing and Managing, CASS, operational effectiveness, client records and life-cycle.documenting procedures and identifying document shortfalls; identifying key gaps in critical operational and CASS processes; producing/analysing/reviewing Risk and Control Maps in relation to Dealing and Managing, CASS and operational process producing/reviewing training material producing Complaint and Breach Registers, CASS 10 Resolution Pack, CMAR and ensuring these are fit for purpose.Strong ability to liaise with/challenge key stakeholders and business teams to ensure remedial actions and preventative measures are undertaken and new/enhanced controls/processes and procedures are implemented where necessary and have pro-actively been involved in the development of in-house applications to ensure compliance with regulations (order, execution and record keeping/PA Dealing authorisation and monitoring/error notification/management dashboards).Key point of contact/advisor for all Dealing and Managing, CASS and operational process queries/issues as well as being responsible for production and oversight of Complaints, Breaches and Errors Registers.Many years of experience producing data/overseeing and being the key contact for annual audit (financial and FCA CASS) as well as producing MI and Board Papers.Member of many business committees including Risk and Compliance/Investment and IT/CASS.Strong knowledge of investment operation and reporting systems including Iress Pulse Symphony/TFS Tercero/LiquidMetrix/FCA/HMRC.