Joint Head
Stocktrade
Brewin Dolphin Ltd, Atria One, Edinburgh, Scotland
Joint Head of Stocktrade, the execution-only stockbroking division of Brewin Dolphin Ltd. Providing a range of services and products to a diverse range of clients, including individuals, institutions, quoted companies, fund managers, financial advisers and building societies. Responsibilities:• Establishing, implementing and periodic review of Business Plans.• Setting budgets and monitoring on an ongoing basis against performance.• Senior management of a highly skilled workforce.• Staff reviews, salary reviews, bonus reviews.• Drafting, implementation and embedding of operational processes and procedures.• Overall responsibility for Dealing, Credit Control, Complaints, AML / Fraud.• Worked alongside 2LOD to create a Risk & Control Framework within Stocktrade over a period of several months, in addition to quarterly reviews once established. • Liaising with, reporting to, and sitting on committees with various Brewin Dolphin Regulatory teams: Operational Risk; Financial Crime & Data Protection; CASS.• All web and client literature (T&Cs, Services Guide, Rate Card, OEP etc) content, review and updates.• Relationship management, including SLAs, with three UK leading building societies.• Collaborating with both internal and external auditors.• Implementation and production of KRIs, KPIs and MI.Achievements:• Leading and growing the business, by focusing on agreed strategies, resulting in efficiency and profitability.• Key stake-holder in the successful implementation of a front / back / web operating system whilst increasing revenue, growing AUA, and retaining Stocktrade’s reputation for excellent customer service.• Senior involvement in several significant projects including asset / client migrations, MiFID, T+2, re-papering and re-pricing. • Creation of an effective and robust risk and control culture within Stocktrade. • Collaboration and participation in the sale of Stocktrade to Alliance Trust Savings in 2015.
