An experienced Manager within Operations, who is currently focusing on Operational Risk and Controls, who is a keen leader of change, with over 25 years in the Financial Markets, gained predominantly in Stock Broking and Investment Banking in the United Kingdom, but more latterly in Private Wealth Management in Auckland.
In the time spent within Private Wealth Management, I have been able to implement process changes based on my previous experiences. The use of depository accounts for both our Equity and Fixed Income businesses has been introduced, leading to a more simplified settlement process, whilst daily controls have been improved around the Corporate Action and Stock Reconciliation functions through greater use of external vendors, to provide more robust processes to reduce the operational risk.
During JBWere's migration from Goldman Sachs & Partners I succesfully implemented JBWere's own Trade Operator team which has become the central point for all the Company's global order flow.
With much exposure to Equity, particularly Emerging Market, and Fixed Income securities, a very strong process control focus was developed enabling me to make significant changes in three business units which resulted in total savings in excess of USD 1.5mill, as well as reducing risk and improving the scalability of the Operations team.
Through working closely with internal and external clients alike, and the creation and development of stable business relationships, I was able to re-design a custody product offering to the extent, that over a three year period, income from the product exceeded USD 1 mill.
I am an Associate member of the Securities Institute as well as a holder of an ISMA Foundation Course certificate.