Experience

Wise Investment

• Investment Management
• 1 - 100 Employee

• Senior Operations Technician

  • Jan 2021 - Present

  Working for a firm of financial advisers, that manages client money mostly on a discretionary basis. My role is largely concerned with process design and development within the team and where outputs are sent to other teams working with them as required so processes align. I provide opinion and support for company level changes to policy, systems or processes. I run or am involved with various projects around service improvement and operational efficiencies, over the next couple of years this will include developing our document management system, changing our CTV provider, launching a new client platform, developing CGT reports, reviewing our valuations and changing how to collect and submit MiFID transaction reports. I am also responsible for maintaining the CGT system.

• Operations Technician

  • Jul 2015 - Dec 2020

  Working for a firm of financial advisers, that manages client money mostly on a discretionary basis. My role has focused on the operational management and development of systems, controls and processes to make the business more efficient as client numbers grow. Involved in various projects for developing and improving client experience. The role includes/has included coordinating use of ISA allowances, CGT management and implementing new software. Monitoring client accounts to ensure correct investments, structure, charges, suitability and compliance. I'm also involved developing processes, audits, policy development and project management.

• Paraplanner

  • Apr 2010 - Jul 2015

  Wide ranging and varied role that has developed as required to suit the growing business. The role has included researching investment funds for client portfolios, managing a fund database, monitoring client portfolios and cash balances as well as client specific research. I have also written reason why letters and been responsible for co-ordination of client valuations and tax information. Some management and training responsibilities.



Sesame Bankhall Group

• United Kingdom
• Financial Services
• 100 - 200 Employee

• Researcher

  • Sep 2005 - Mar 2010

  Assessment of investment bonds, unit trusts, OEICs, life and pension funds as part of regular reviews to maintain a recommended product list. Responsible for maintaining relationships with account managers of various investment houses and life offices and ensuring they are kept appropriately informed of any decisions. Worked to a tight timetable for reviews and balancing other work around the schedule. The role also involves proving technical support to financial advisers through phone and email contact as well as to other areas of the business such as compliance. Issuing and maintaining various publications including guides on with profits, ISAs, compensation and a comparison of bonds and collectives, factsheets on new funds and bulletins on market issues. My area of expertise within the team was considered to be the taxation of investments product and funds.

• Investment Technician

  • Jan 2004 - Sep 2005

  Responsible for dealing with telephone and e-mail enquiries on technical aspects of investments from financial advisers and colleagues. I undertook various administrative functions within the team such as maintenance of the filing system, updating spreadsheets with fund performance data and co-ordinating questionnaires sent to investment houses for reviews. I maintained the investment product listings on the website-based product list. Occasionally this role required me to attend regional meetings across the country to meet with advisers and promote our service. I also trained the replacement technician.

• Operations Technician

  • Mar 2003 - Jan 2004

  As an Operations Technician, my main responsibilities were to handle queries from advisers and ensure the maintenance of an internal product database completed by providers. I was also responsible for training the new Co-ordinator.

• Research Coordinator

  • Sep 2002 - Mar 2003

  The first role in the research department was really one of administration. The main role was the coordination of updating, printing and distributing the ten yearly issues of the departmental product list (which was then paper based) and all other communications issued by the Research teams to each adviser. I took first line calls into the department and was also responsible for several administrative duties within the team such as booking meetings, distributing enquiries and filing.

• Member Payments Administrator

  • Jan 2002 - Sep 2002

  Entry-level role using an internal payment system to assign commission amounts to advisers. Focused around meeting a certain number of transactions a day, which encouraged deadline and target skills. I processed manual commission and electronic statements. Accuracy, timeliness and focus were required to ensure all commission was processed in time for the weekly run.