Sally Stephens Email and Phone Number

A new Global Platform providing Wealth Management Products and Tools to Intermediaries with International Portfolios.Responsible for supporting the Executives in investigating and researching options for the set-up of the new Novia Global Platform launched in October 2015. Moved into Project role to support CEO with areas of responsibility including choice of domicile, systems and operational design, market research, target operating model definition, production of business case including financials, research for third party suppliers of custody, banking and FX services, pricing and contract negotiation with third party suppliers, support in promoting proposition and business case to potential investors.Full responsibility for production of FCA application and obtaining regulatory approval and passporting into Europe. Took on CF29 role as significant influence within company.During project implementation project managed the Operational workstreams and responsible for business readiness of operations, recruitment and training of staff, testing of system, relationship management with third party suppliers, testing of system, operational definition of process flows and go live decisions.

Wealth Management Platform providing, ISA, SIPPs, Offshore Bonds and Direct Investments.Provided direction for staff within operations team of Novia Financial Wealth Platform, including front facing client executives, back office customer service administrators, Investment Administration and dealing team, Technical Support team together with reconciliations and controls, including CASS responsibilities. Responsible for compliant operational delivery, delivery to SLAs, at the same time as driving forward set-up of operations to manage significant growth in the business. Included changes to platform, people and processes to deliver a streamlined, efficient and automated service offering to ensure business scalable and continued to provide excellent customer service to its clients. Delivered change to product and operations to adapt to regulatory changes from FCA and HMRC.Managed new systems deliveries into the operations.

Leading International Wealth Management Company providing high net-worth investment products globally in Asia Pacific, Dubai/Emirates, Scandinavia, Latin America, Africa and Europe. Defined and implemented Operational Strategy. Directed 7 staff delivering change to improve operating model and service delivery. Direct Relationship Management of Internal Services, in particular systems.Led selection of new International Platform to deliver new products, services and processes in customer centric manner from an operational perspective. Developed TOM to support new and legacy systems ensuring most efficient model implemented and improved profitability simultaneously improving customer experience. Supported development of Business Case.Business owner, supporting CEO, on delivering improvements to reduce cost base. Prioritised and implemented operational changes within agreed budgets and conflicting priorities, including systems, lean activities and new products whilst always improving customer experience.

HEAD OF LIFE AND PENSIONSAs Board Director, directed leadership team to deliver services to clients, defined strategy, sourced and implemented new clients and delivered improved profitability to Vertex Life and Pensions. Included closed books, straight through processing accounts, responsible for Jessop Fund Managers and underwriting services for large global banks, key UK Life and boutique Organisations. Circa 500 staff.Successfully led new business team to identify and win new contracts. Prepared quotes, developed TOM, developed systems, negotiated contracts and produced commercial models to support new bids and then delivered the implementation of new accounts and transfer into the business.Growth of client accounts through strong relationship management. Accountable for delivery of service and on-going improvement within clients operations. Excellent service delivery and meeting KPIs to strike balance between client, distribution channels and underlying policy holders.Improved profitability by introducing new system architecture, process re-engineering/lean and contract re-negotiations.LIFE AND PENSIONS OUTSOURCING DIRECTOR/CLIENT DIRECTORIntroduced new productivity management systems and production management toolsPitched and implemented new accountsResponsible for obtaining regulatory permission for set up of new Unit Trust Company. Business Owner of project to transfer assets to new Company, designing TOM, new systems and processes, training staff and migrating books of business.Regulatory responsibility for Jessop Fund Managers, negotiating deal for new books of Unit Trust business and project managing migration across. Managed outsourced providers such as Investment Managers and Custody/pricingReviewed overall operations of underwriting business and developed strategy to improve profitability, customer retention, utilisation and TOM. Managed the transition of the business to generate improved profitability and excellent customer service.

FINANCE DIRECTORAs Board Director of Capita SIPPs led financial accounting, budgeting, planning, product profitability, new account pricing and forecasting. All delivered to very tight deadlines and standards. Reviewed opportunities to increase revenue on bank balances heldIntroduced new systems to improve fee accounting and reduce client debtorsOPERATIONS DIRECTORManaged back office operations staff of c 350 included Investment Administration, Dealing, Property Administration, Pensions Administration, Management Information, Facilities and Major Change Projects.Delivered services to clients within regulatory deadlines, meeting all client SLAs, and within budget. Key stakeholder Management with Clients and Internal Divisions of CapitaIntroduced new systems and processes to improve turnaround times, improved processes and customer experienceRe-organised Operations Division to ensure robust compliance with FCA requirementsResponsible for the Project Management of a large number of change projects within Capita SIPP within Division

International Life and Unit Trust business based in Guernsey, Hong Kong and Ireland providing Life and Unit Trust business for distribution in South Africa, Channel Islands and Far East. Led 150 staff including life and unit trust servicing, investment administration, IT, legal and facilities across different continents.Responsible for outsourcing of all administration to a Third Party to improve profitability. Overall responsibility for project management, selection, approval by Board, business case/pricing, contract negotiations and legal contract, process definition and support in training staff, staff redundancy and re-deployment.Project Managed Scheme of Amalgamations of Unit Trust Licences to deliver streamlined licences, improved service delivery to clients and also improved profitability.Introduced Business Process re-engineering within servicing areasOutsourced back office processing for Hong Kong branch. responsible for regulatory approval and management/delivery of whole project to include transfer of data and processes. Improved controls within operational areasSeconded to OM Plc acquisitions team. Reviewed risk, compliance and operational aspects of company reviews and supported production of Target Operating Model.

Led 220 operational staff in Dublin, South Africa, Guernsey, Hook, Dubai and Hong Kong across all functions.Supported the introduction of new systems to manage the International businesses. Project managed the introduction to branches and significantly improved the data input time and training required. Improved customer experience with quicker policy turnaround and improved quality.Project Managed the closure of operations in the Middle East, Hong Kong, Irish branches and Head Office, resulting from the closure to new business in UK Life and International businesses.Set up and introduced new Unit Trust Products in Dublin, included obtaining regulatory approvals, set-up of Operations, systems, staffing, training and design of all processes.Introduced process improvements to improve customer experience and productivity.

UK Unit Trust Operation managing own internal Unit Trusts and external Broker Unit Trusts. Leader of all aspects of the operations and managed key relationships with third party suppliers and Broker Unit Trust Clients. Responsible for implementing new Unit Trust system which included setting up the Target Operating Model, staff recruitment and training, migration of assets from 2 systems onto 1 and development of controlled processes.Developed control processes to enhance relationship with regulator and internal audit functionsContinually updated system, process and people requirements as regulations developed.

Life, Unit Trust and Investment Management Company which sold into the UK through tied sales staff and Brokers. Set up, developed and managed team of 6. Introduced new management information reporting, budgeting, planning and forecasting to improve the expense management of the business. Involved in providing financial input to projects and business initiatives.

Managed team of 6 qualified accountants and 4 systems staff, providing resources to Companies within the Thorn EMI Group to work on interim management, project support, system/process implementations and improving controls in the business. Accountable for researching requirements, allocating appropriate resources, stakeholder management, resource conflict and managing performance. Promoted to this role in 1988 having been a Business Consultant providing financial and business consultancy to the Divisions within Thorn EMI

Member of the Finance team of new venture to set up revolutionary product. Accountable for expense reporting, forecasting and planning of operation. Introduced first product costing into newly acquired banking arm in London and Isle of Man for high net worth bank accounts and loans.