VP of Finance

• Oct 2021 - Present

Director - Head of Client Services and Compliance

• Mar 2016 - Mar 2019

·Start up of investment advisory business. ·Compliance / regulatory reporting for umbrella company ·Start up of investment advisory business. ·Compliance / regulatory reporting for umbrella company

CFO

• 2010 - 2015

· Initiated the FCA application for FM Capital Partners Ltd; Management of all financial FCA reporting including ICAAP/ILAS and oversight over regulatory capital requirements. · Managerial finance - implemented and managed finance function from detailed (payments; payroll; monthly/financial/ad hoc reporting; invoicing) to strategic (valuation; budgeting/forecasts; capital adequacy; financing; projects for Board). · Forecasting ·Managed relationship with Auditors/Banks/Insurer. · Involvement with investor meetings and sales pitches. ·Board Agenda and material preparation and Companies House requirements (Company Secretary from 2012). Worked closely with Board and CEO. ·Member of Management Committee developing strategic direction for business. ·Managed the HR function for the Company –contracts; organizing reference checks; induction; payroll and all HR related matters. Show less

Head of Investment Administration

• 2007 - 2009

·Managed the investment administration function within Cardinal Advisory’s family office function. .investor relations ·Assessed prospective investments and underlying fund managers suggested by the Investment Advisor. Developed independent market views to further evaluate these investments; substantiating or challenging their validity as required in line with performance and risk objectives. ·Managed information flow with the Investment Committees, to ensure they received high quality presentation material and other requisite information to make clear & prompt investment decisions. ·Produced monthly & quarterly portfolio performance reporting, incorporating both quantitative and qualitative analysis. ·Developed relationships with brokers, counterparties and other external stakeholders, to ensure that the Family Office was treated fairly as an institutional investor; securing both preferential pricing and rebates on investments. ·Managed team of 2. Show less

Equity / Fund Derivative Structurer

• 2006 - 2007

·Created structured products for wholesale and institutional investor markets, notably HNW individuals. With predominant focus on tax efficient investments. ·Prepared marketing brochures and performance simulations to communicate product behaviour and structure. Liaised with Legal and Compliance to ensure that all communication was clear, fair and fully compliant with all applicable regulations. ·Supported Business Development, Management and Operations, by professionally managing client interests & requests for information, and ensuring that products were handled smoothly throughout their lifecycle. Show less

Project Manager - Fund Derivativve launch

• 2006 - 2006

·Liaised extensively with external and internal taxation specialists, to optimize tax efficient solutions for investors. ·Negotiated terms with hedge providers (London based), including terms of business, underlying investments and fees levied. ·Liaised with Operations and IT to ensure that sufficient systems and procedures were in place to handle all life cycle events of the products. ·Conducted a detailed review of product documentation in cooperation with Legal & Compliance to ensure that regulatory requirements were satisfied. ·Contributed to the review of marketing and training materials to ensure that Sales, Financial planners and Investors were familiar with and understood the product features and risks prior to investment. Show less

Fund Derivatives Structurer

• 2003 - 2006

·Developed fund derivative structures for global institutional and intermediary investors. Products included principal guaranteed & leveraged structures, linked to the performance of hedge funds, funds of funds and mutual funds. •Determined the most appropriate product structure to meet diverse investor requirements, with respect to the underlying investment, product structure and payoff. •Arranged due diligence reviews of prospect underlyings prior to investment. Due diligence process included reviewing standard RFPs; attending international on-site manager visits; reviewing Fund legal documentation; and presenting reports to Rabobank’s Hedge Fund Risk Committee of conclusions of due diligence investigation for approval of the Fund. Also negotiated terms of business/reporting requirements upon approval. •Maintained clear communication flow with all stakeholders, including negotiating revised terms with clients as required; and ensuring after-sales follow up to ensure counterparties and clients were informed of all developments. •Contributed to the development of CPPI & option on CPPI methodology, investment guidelines, and optimised product structure (EMTN, OTC, swap) according to client profile including performance simulations. •Worked closely with Legal & Compliance to ensure compliance with client’s legal framework, including local and international regulations, selling restrictions and tax treatments and marketing materials appropriate for client and their regulatory environment. •Supervised legal documentation and contracts preparation, including pricing supplements, and distribution agreements. Show less

Head of Middle Office - Equity Derivatives

• 1998 - 2003

·Responsible for ensuring the integrity of Rabobank’s Equity & Fund front office trading & risk management system (Sophis). ·Managed team of 4 direct reports. ·Production of daily P&L and P&L attribution. ·Liaised extensively with Back Office in Amsterdam regarding the settlement of trades. ·Produced ISDA documentation on all OTC/Swap transactions. ·Developed Rabobank’s operational processes and procedures for the launch of the Fund Derivatives business in 2002. ·Conducted extensive User Acceptance testing of Rabobank’s new Equity structured products trading & risk management system (Sophis) Show less