Mark Rushton Consulting Limited (MRCL) is a company that provides consultancy for investment, wealth and asset management companies through the services of Mark Rushton. These services are charged out at a daily rate for given projects.

CEO WCIM (Sept 2017 to Feb 2019); CIO (Feb 2012 to Sept 2017)Managed and oversaw all aspects and initiatives of WCIM (and WCG) relating to: governance, management, strategy, investment, client coverage, operations, compliance, LSE listing, shareholders, HR, marketing & PR, product development, systems & controls, behaviours and culture. Turned a loss making firm into profitable business and grew fee earning AUM fivefold.Developed a business strategy with achievable targets to meet expectations of shareholders, customers and employees.Ensured governance, systems and controls were established and monitored continually, appropriate to the scale, nature and complexity of the business.Oversaw the Compliance Department in complying with all regulatory obligations and new regimes.Assessed the level of risk undertaken by the firm and developed strategies and tools to manage, monitor and control risk.Drove Executive Committees and Sub-Committees and oversaw the Investment Committee.Directly managed recruitment and control of CF30s and their remuneration (contractual) packages. Ensured a remuneration policy is in place that was competitive and contained any conflicts.Ensured that the infrastructure around the firm’s Information Technology Systems and outsourcing was appropriate to safeguard against risks of malfunction and financial crime.Qualities needed amongst others: good communication skills: articulate; fluent; incisive; energetic; firm but fair leadership; good commercial vision; strong presentational skill; experience of developing and implementing strategy through the ManComm; clear understanding of good governance; familiarity with leading firms and investment community; broad knowledge and detailed understanding of investment & financial services, markets, products and trends; hands on experience of hiring, mergers and acquisitions; broad and up-to-date understanding of technology; risk & portfolio management; dealing, trading and settlement systems.

Ran a comprehensive offering for all WM activities in the UK and the Channel Islands, adapting it to accommodate the integration of three original businesses – BNPP Wealth Management, Insinger de Beaufort and BNPP(Fortis) Private Investment Management. ResponsibilitiesTeam Management; Investment strategy (implemented the local Investment Process linked to the WM Investment Process); Product Development and Policy (developed an offering for local market and clients needs; steered New Product Validation Committee); Advisory process (ran Research team, set portfolio construction guidelines (asset allocation, diversification, investment proposals), training program for all the front office); Discretionary Portfolio Management process (defined and set up objectives, risk profiles and rules regarding DPM (investment universe, asset allocation, implementation) and benchmarks; drove KYC from traditional profiled DPM mandates to widen the DPM offering); Execution Desk (equities, bonds, forex, derivatives; ensured best execution policy; oversaw guidelines and procedures to avoid execution mistakes and risks); Communication & Marketing (executed business communication plan for the UK region with the London and Paris teams); Organisation & Tools (sponsored Risk IT project and KYC investment profile project); Private Banking (launch the full private banking offering including mortgages, investment management and private banking as Fortis Private Banking in November 2007).

Member of Risk Management CommitteeMember of Business Development CommitteeStructured ProductsExtended the existing private client offering to include structured products amongst other alternative asset classes incorporating; capital protected exposure to equities, commodities, interest rates; developed the offering of a variety of tax efficient strategies, vehicles and holding structures. Oversaw single stock protection for individuals and trusts; introduced requisite new transaction and compliance procedures. Developed Structured Products as a core part of the business and took income from structured products from zero to a significant revenue contributor.Responsible for external relationships and tie-ups with providers, including investment banks for: transactions, negotiations of fee arrangements and execution; back office procedures; compliance approvals; costs and profitability; internal and external product education, seminars and teach-ins. Marketing & Business DevelopmentRan marketing of Private Client (& some Charity) services and products to prospective and existing clients, lawyers, accountants, intermediaries, IFAs, and throughout the internal/existing network; hosting client and intermediary events – presentations of various sizes to different types of audience, client events; overseeing production of all private client and intermediary marketing material and advertising; monitoring performance and key performance indicators; producing and driving a new Private Client Business Development Strategy following change in corporate structure; liaising with Charities.

UBS - Head of UK, Netherlands and Scandinavia for Equity Derivatives and Structured ProductsMarch 1998 – December 2001SBC Warburg - Head of Corporate Structured Equity - Scandinavia and Benelux (UK/Europe)February 1996 - March 1998SBC - Head of Scandinavia and Benelux - Equity DerivativesJanuary 1993 - February 1996Co-ordinated marketing of all product areas - Equities, FX, and Rates for both cash and derivative products to Benelux and Scandinavia and all press contact and PR for the team and the products.

October 1989 - December 1992 - Managed New Issues team - bond origination and all other primary market business. Structuring new issues involving Rates, FX, Commodity and Equity derivative products. Sales of targeted primary deals to Tokyo and Europe. Contact with issuers throughout Europe and contact with the relevant markets in London (and Chicago). Liaison/partnership with CRT (Chicago Research and Trading)May 1986 - October 1989 - Bond, Warrant and Convertible sales to institutional investors in Norway, Finland, Luxembourg and Middle East. Primary market involvement in new issues lead managed by MTI.