A service company set-up to provide advice on; o FCA Sourcebook compliance, particularly on CASS, COBS and SYSC o Platform start-up or variation of permissions including target operating models, Part IV permissions, oversight of third parties, organisational structure o Operational efficiency reviews to reduce the cost of asset administrationRecent projects; o Advising on a platform start-up; helping select their optimum operating model, gap analysis between current operations and those required for a MiFID platform services firm, preparing the FCA Authorisation Pack, identifying new policies and procedures required, advising on governance structure and control environment, staff training o Assisting with platform administrator selection, due diligence on short-listed companies, agreeing target operating model, oversight requirements and service level agreements o Reviewing proposed PS14/9 changes for a client, which involved; ensuring process compliance, rewriting 14 business processes and 4 policies, providing training to operations to ensure business readiness prior to implementation o Reviewing inefficient processes, agreeing new process with the Senior Management Team, introducing best practice methods making better use of workflow and system data to improve efficiency and reduce conduct risk o Designing a new oversight model for a wrap platform with outsourced administration, evidencing that the correct controls are being applied and only relevant SLAs are set and monitored o Designed new Internal Client Money Reconciliation process for a platform software provider

Responsible for; setting up the Bristol office, management of the Operations department, definition and refinement of processes as transaction volumes and assets under management grew, adding funds as an asset class to the platform.Member of the Risk Committee and Wrap Steering Committee, ensuring that Operations was run in a compliant and efficient manner, liaising with group Compliance, internal and external auditors on regulated activities and functions.

I was a Division Director for Macquarie Bank International and responsible for running Operations for the UK Wrap. This involved all aspects of Operations from recruiting the initial team, reviewing and signing-off the procedure documents, managing the expansion of the team as volumes increased and then managing the wind-down of the operation as Macquarie withdrew from the UK wrap market.

I was part of the original team that purchased Investment Funds Direct Limited from Egg plc and launched the Ascentric Wrap Platform.I had responsibility for IT which involved data migration from the old IFDL platform to the bluebutton software and then all the processes required to train staff and changed operational processes to cope with a major change. After the successful launch there were many changes/enhancements and new developments in this relatively new sector to manage and deliver.I was also responsible for Operations, ensuring that the team was well organised, followed procedures and most importantly delivered a good, consistent service to the clients.

Working with the chief architect and developers on the bluebutton stockbroking and wrap system. This involved some sofware design, testing and implementing the system.

Responsibility for managing the IT team that supported the TAROT system. This involved analysis of issues, recommending solutions and managing the subsequent change. The team and I were responsible for delivering significant change during this period as bargain volumes increased dramatically after CREST was launched with a wave of demutualisations.

After qualifying as a Chartered Accountant, I spent some time in the finance department before moving onto working with the stockbroking product. This involved testing, business analysis and requirements gathering. I also supported the clients and helped to implement new functionality/versions/releases at various UK retail stockbrokers. I was heavily involved in the design, testing and implementation of the CREST version of the TAROT software and for CREST trialling at a number of stockbroking firms.