Specialist Wealth Management Recruitment Company with an emerging markets focus

Mercantile Risk & Control LtdRegulatory Risk and Control Specialists to the Financial Services Industry We support small to medium size entities, in the Banking, Financial Services and Wealth Management sectors, In the running of Change and Business Transition programmes and projects. A wide knowledge of the products and services covering the full spectrum of Banking and Wealth Management Products and Services , including trading activities, either from a Retail ,High Net Worth or Corporate and Institutional standpointWe specialise in • The implementation of Risk, Control and Corporate Governance infrastructures in line with current and future regulatory regimes. • The development of Operational efficiencies – People- Process- Product • The design and running of Business Change & Transition Programmes and Projects.

Sucessfully achieved mandate of putting in place necessary operating infrastructure and business strategy to enable the company to gain FSA authorisation.

Responsible for all Group wealth management products and services including Fund offering allied toPrivate / Retail banking within the UK,Development of a Strategic Plan for Private Banking / wealth management accepted by group board .

• A business transformation role leading all activities within the client wealth management & banking business.• Developed a strong cross functional senior management team across Finance, HR, Investment Management, Compliance, Legal, Risk, Business Development and Relationship Management • Influenced and negotiated at board level to design and implement comprehensive improvement and growth strategies and dramatically improved investment performance • Regained the confidence of historic clients and counterparties whilst simultaneously establishing and sustaining new relationships. Personally delivered over £50m new AUM in 2006• Demonstrated high level marketing and business development capabilities and defined and led all related initiatives, instigating partnership initiatives with top UK and Irish Intermediary institutions • Retained involvement at an operational level ensuring all activities were aligned with regulatory and corporate regulations

• Utilised extensive investment management and financial knowledge to provide high level training and consultancy services to banks, investment institutions and high net worth individuals in the UK, Europe and the Middle East• Applied superior influencing skills to sell consultancy and financial solutions, ensuring alignment with the clients needs• A high level commercial awareness enabled a detailed understanding of a client’s business and worked with client’s key decision-makers to develop investment and commercial strategies e.g. developed a comprehensive funding strategy for a Silver Banking business start up• Areas of expertise applied to training and consultancy included Investment Product Selling Skills and Relationship Management, Understanding Investment Markets and Products, How to take advantage of 3rd party providers (Hedge Funds), Risk Management and Product Development, HNW Investment Profiling, Treasury Products, Money Laundering, Modern Portfolio Theory, Alternative Products, Trends in Private Banking

• Operated at an executive level to lead all strategic and operational activities within the Investment Advisory Business (profitability of £125m pa and 45 employees)• Led the strategic development of the business away from banking to a more investment led approach. Undertook detailed business transformation activities encompassing strategies, processes and product development and delivery .• Member of Investment Strategy committee & Asset class head for currencies & fixed income..Retained a hands on approach to client liaison and retained close links with the client base, providing advice and support to staff and clients on all aspects of investment products and markets• Built a new team of product managers and staff to support the developing areas of Investment Sales (responsible for over 25% of all investment product sales within the UK private bank), Investment Management (offered advisory and discretionary portfolio management services to the bank’s private client base), Structured project (which covered equity currency and fixed income strategies and had a profitability of £2.5M per annum), Cash Management (covered the bank’s Money Market / Deposit Book of approx £7bn and development of cash / liquidity management service for deposit led private clients), Foreign Exchange (profitability increased from £6.5m to £11m), Securities Execution (serving discretionary and advisory fund management and 3000 execution only private clients), Risk Management (ensuring the compliant and effective management of products and services) and Asset & Liability Management (management of the balance sheet and the tactical hedging of all interest rate income exposure)

Link between Global Treasury and various global corporate entities with particular attention to building links with major institutions within the European Financial Services Sector.

From profitable Market Maker in various spot and forward currency books to Head of Sales an the development from scratch of a corporate sales desk aimed at Euro top 300 entities. offering a wide range of FX , Money Market and Fixed Income products.