Dean Gough
Head of Operations at Financial Planning Corporation- Claim this Profile
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Bio
Steve Smith
I assisted with the recruitment of Dean, and worked alongside him while he implemented a training strategy for the national operations function of Chase de Vere. Although resources were limited, Dean was able to take a pragmatic view of how to achieve a level of competence for individuals. Dean clearly took time to appreciate that support is much more than training people on how to complete a specific task. He went to great lengths to explain to candidates that their actions delivered an impact on advisers and also end clients. It is this holistic approach that was of great benefit to the firm. He is knowledgeable and patient with candidates, traits that are often understated in our impatient world.
Steve Smith
I assisted with the recruitment of Dean, and worked alongside him while he implemented a training strategy for the national operations function of Chase de Vere. Although resources were limited, Dean was able to take a pragmatic view of how to achieve a level of competence for individuals. Dean clearly took time to appreciate that support is much more than training people on how to complete a specific task. He went to great lengths to explain to candidates that their actions delivered an impact on advisers and also end clients. It is this holistic approach that was of great benefit to the firm. He is knowledgeable and patient with candidates, traits that are often understated in our impatient world.
Steve Smith
I assisted with the recruitment of Dean, and worked alongside him while he implemented a training strategy for the national operations function of Chase de Vere. Although resources were limited, Dean was able to take a pragmatic view of how to achieve a level of competence for individuals. Dean clearly took time to appreciate that support is much more than training people on how to complete a specific task. He went to great lengths to explain to candidates that their actions delivered an impact on advisers and also end clients. It is this holistic approach that was of great benefit to the firm. He is knowledgeable and patient with candidates, traits that are often understated in our impatient world.
Steve Smith
I assisted with the recruitment of Dean, and worked alongside him while he implemented a training strategy for the national operations function of Chase de Vere. Although resources were limited, Dean was able to take a pragmatic view of how to achieve a level of competence for individuals. Dean clearly took time to appreciate that support is much more than training people on how to complete a specific task. He went to great lengths to explain to candidates that their actions delivered an impact on advisers and also end clients. It is this holistic approach that was of great benefit to the firm. He is knowledgeable and patient with candidates, traits that are often understated in our impatient world.
Credentials
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Advanced Certificate in Operational Risk
Chartered Institute for Securities & Investment -
CISI - Investment Operations Certificate
Chartered Institute for Securities & Investment (CISI) -
Financial Planning Certificate 1-3
Chartered Insurance Institute -
RO1 - Regulations & ethics
Chartered Insurance Institute -
RO3 - Personal Taxation
Chartered Insurance Institute -
RO5 - Protection
Chartered Insurance Institute
Experience
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Financial Planning Corporation
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United Kingdom
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Financial Services
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1 - 100 Employee
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Head of Operations
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Oct 2022 - Present
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Investec Wealth & Investment UK
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Financial Services
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1 - 100 Employee
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Operations Manager
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May 2018 - Oct 2022
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Practice Manager
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Dec 2016 - May 2018
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Chase de Vere
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United Kingdom
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Financial Services
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400 - 500 Employee
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Operational Development Manager
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Jul 2015 - Oct 2016
Responsible for the training and development of all Operational Non sales staff across all national branches. Responsible for the training and development of all Operational Non sales staff across all national branches.
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Midas Investment Management
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Financial Services
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1 - 100 Employee
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Back Office Manager (Contract)
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Jun 2015 - Jul 2015
Manage all back office day to day processes. Responsible for process improvement and operational efficiency Management of 3rd party relationships Compliance Oversight Management Reporting Contribution to Strategic Growth Planning Manage all back office day to day processes. Responsible for process improvement and operational efficiency Management of 3rd party relationships Compliance Oversight Management Reporting Contribution to Strategic Growth Planning
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CGT & Client Reporting Manager
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Jan 2015 - Jun 2015
Manager of two teams (13 FTEs) I joined to manage the team’s production of client reports, Rathbone’s Online Helpdesk and the calculation and input of stock book costs for CGT purposes. The role has a heavy emphasis on change management with approximately 10 projects currently impacting these teams at some point during 2015 Manager of two teams (13 FTEs) I joined to manage the team’s production of client reports, Rathbone’s Online Helpdesk and the calculation and input of stock book costs for CGT purposes. The role has a heavy emphasis on change management with approximately 10 projects currently impacting these teams at some point during 2015
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Close Brothers Investment Limited
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Investment Banking
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1 - 100 Employee
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Portfolio Administration Manager
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Feb 2010 - Jan 2015
Responsible for managing several bank office administration teams covering a variety of settlement and processing functions. In addition to this I support change management and operational risk impacts and initiatives as required as well as management reporting. Responsible for managing several bank office administration teams covering a variety of settlement and processing functions. In addition to this I support change management and operational risk impacts and initiatives as required as well as management reporting.
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Pershing, a BNY Mellon company
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United States
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Investment Banking
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1 - 100 Employee
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CREST Manager
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Feb 2005 - Feb 2010
Responsible for 3 back office teams that covered custody and settlement services for institutional and private clients. I managed up to 20 team members and was responsible for multiple daily and weekly KPI and KRI thresholds as well as the man management of the team. I was also heavily involved in business change and risk mitigation. Responsible for 3 back office teams that covered custody and settlement services for institutional and private clients. I managed up to 20 team members and was responsible for multiple daily and weekly KPI and KRI thresholds as well as the man management of the team. I was also heavily involved in business change and risk mitigation.
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Edward Jones
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United States
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Financial Services
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700 & Above Employee
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Investment Advisor
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Apr 2004 - Feb 2005
I was required to meet daily deadlines to grow my own client contact list to a level that allowed me to setup my own branch for Edward Jones and promotes their products to the customers that I had found and developed my own relationship with I was required to meet daily deadlines to grow my own client contact list to a level that allowed me to setup my own branch for Edward Jones and promotes their products to the customers that I had found and developed my own relationship with
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JPMorgan Chase & Co.
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United States
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Financial Services
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700 & Above Employee
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FX Supervisor
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2002 - 2004
To manage a small team to effectively manage Nostro settlements, investigate exceptions and manage errors and issues To manage a small team to effectively manage Nostro settlements, investigate exceptions and manage errors and issues
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Education
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1998 - 2000
Poole Technical High School
GNVQ Business Advanced, Business Administration and Management, General -
1992 - 1997
Poole Technical High School
GCSEs, Business
Community
