James Smith - Director, Daylope Limited

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Work Background

Daylope LimitedOwner

Sep. 2022Working for a multinational company who offer investment, savings, protection and professional trust services to international investors around the world. They administer USD25 billion of assets for over 200,000 customers. My original 13-month contract focused on managing two key regulatory projects within the business, Pensions Dashboard Programme (PDP) and New Consumer Duty (NCD). Accountable to the Managing Director, I was responsible for the direct management of Business Analysts, Project Managers and Project Management support. PENSIONS DASHBOARD PROGRAMME: • Setup and design of the project, including business case approval by the Board. • Chaired monthly steering groups, owned project plan and RAID logs throughout the project. • Procurement, tender and appointment of 3rd party Integrated Service Provider (ISP) solution • Liaised and represented company interests with industry bodies, including PDP government focus groups and FCA. • Management of budget in excess of £1m. • Delivery of the PDP technology requirements and data ready for connection to the government gateway. NEW CONSUMER DUTY: • Setup of the project, creation and sign-off of the Board level NCD implementation plan by FCA deadline. • Completed business requirements gathering and impact analysis on NCD rules, including Executive & Board sign-off. • Chaired monthly steering groups, owned project plan and RAID logs throughout. • Delivery and sign-off of [open] products by the FCA deadline of 31 July 2023. • Review, design and delivery of [closed] book products ahead of the FCA deadline of 31 July 2024. • Successfully completed post project NCD review by FCA supervision teams.

Sesame Bankhall GroupHead of Change

Aug. 2018 - Jul. 2022Leading the Group wide portfolio, my remit included managing project managers, business analysts, change consultants and a PMO in all aspects of change delivery. Key accomplishments / responsibilities during this time included: • Responsible for all strategic, regulatory and business change within the group. Covering circa 12,000 financial advisers. • Chair Steering Groups, agree prioritisation of change in line with strategic objectives with C level stakeholders and deployment of business wide resources.. • Produce and maintain all change documentation, tools and templates in line with the group change methodology • Digital, Data & Technology: Management and successful delivery of two year technology strategy from “on premise” to “cloud” based solution, including data and process management changes. Integration of multiple CRM systems to Dynamics365, including group wide telephony review and implementation. • Organisational: Design and implementation of companywide property & organisational programme, including office rationalisation (UK and abroad), Target Operating Model (TOM) design and delivery, inclu TUPE to achieve significant cost savings. • Regulatory: Design and delivery management of Operational Resilience project across the group to demonstrate compliance with FCA rules. Preparation and design of regulatory horizon projects for AR Regime and Consumer Duty. • Finance: Various Finance / Marketing transformation projects to deliver revenue enhancing projects to the business, including events mobile “app” and bespoke events programme. • NewCo: Design and consultancy on new business ventures, including new end-to-end mortgage processing tool utilizing blockchain technology.

Sesame Bankhall GroupSenior Project Manager

Jan. 2017 - Jul. 2018The General Data Protection Regulation (GDPR) was scheduled to come into effect on 25 May 2018, a wholesale change and updating of the existing law which required all organisations to react to this mandated regulatory change. As lead PM, managing a team of circa 50 stakeholders, key responsibilities and accomplishments included: • Creation and received sign off from Executive and Board of the detailed Business Case • Designed and maintained project plans with SME’s to deliver in scope items across Legal, IT, People, Advisers, Training and Communications • Chaired Project working groups, steering group and represented the project at other governance forums throughout the project lifecycle, including Executive Committee and Board • Conducted IT analysis and impact assessment of 25 IT systems against portability of data within 30 days and systems ability to remove data, as per the requirements. • Designed / delivered training plan and content for over 300 employees on the new regulation. • Provided engagement and communication plan for use with circa 10,000 adviser base, including adviser educational roadshows, planning for updated Data Protection Notices and PDP requirements for all regulated firms. • Documented and received sign off of Closure and lessons learnt report. • All changes were completed ahead of the GDPR deadline, within budget and receiving recognition from 3rd line audit teams who subsequently completed a full post programme audit

Sesame Bankhall GroupSenior Project Manager

Oct. 2016 - Jul. 2017United KingdomAs a result of the long term lease close to expiring, a strategic decision was requested on the feasibility of relocating the main company HQ. I was tasked with leading this exercise which ultimately saw the company HQ move, achieving large per annum savings and an improved working environment and staff centric office space. Main responsibilities and achievements during this project were: • Led negotiating, procurement and tendering process for new office locations • Received sign-off for chosen office in Business Case that saw large per annum savings against current contract • Engaged and led office redesign to 14,500 sq ft office site with 3rd party fit out company, focusing on an improved work space with agile working practices • Created detailed staff engagement plan for 200 colleagues with drop in clinics, comms and detailed moving plan to minimize staff upheaval • Managed technical IT installation (inclu. WAN links) and offsite back up data centre • Moved office over one weekend that saw colleagues leave old office on Friday, and commence in new office on Monday. Zero service disruption was experienced to both internal or external customers. • Completed dilapidations of old building with landlord and handed site back

Sesame Bankhall GroupSenior Project Manager

May. 2016 - Sep. 2016Reporting into the CFO, the project looked to review the existing back book to understand current liabilities, renegotiate existing Professional Indemnity Insurance (PII) and understand further strategic options. • Procurement and tender of third party actuary to compete the project • Confirming and agreeing scope of work with 3rd party • Management of third party to deliver data analysis required, utilizing 10 different IT systems • Delivery of analysis to Executive and Board • Management of PII renegotiation resulting in significant annual savings

Sesame Bankhall GroupSenior Project Manager

Mar. 2015 - Apr. 2016United KingdomReporting to the Executive Chairman and Managing Director, I was responsible for delivering a large strategic change project covering: • Engagement with Regulator to secure buy in for removal / cessation of regulatory permissions, • Establishing a new appointed representative (AR) network for mortgage, protection and General insurance firms, Including managing transfer process of AR firms with regulator, executing target operating plan, and associated systems and controls changes • Sale of circa 150 adviser firms to 3rd party, including managing due diligence / data rooms, contract negotiations and transfer planning processes. • Delivery of a revised organisation structure, that saw over seven figure reduction in cost base • Managed the site closure of one office, including all staff communications, landlord / dilapidations and legal contracts, achieving significant cost savings per annum. • Delivery of a further business sale to 3rd party, and successful TUPE of existing staff • Management and creation of 3 year IT strategy, including comprehensive data migration strategy for redundant systems. Data migrated over a 6 month period and successful decommissioning of three IT systems • Overall cost reduction as a result of the project were above original benefits plan and completed on time

Sesame Bankhall GroupProject Manager

Jan. 2014 - Feb. 2015Working as part of a large programme team with parent organisation, my remit included several projects within a wider programme to deliver a strategic review programme to achieve strategic business objectives. Responsibility for management of circa 100 project team members, key achievements included: • Managing external “top four” team to develop detailed business plan options for group companies, on hand business SME to develop relationship between the two organisations • Liaising and managing 3rd party legal firm to develop legal steps plan for detailed business execution • Delivery of due diligence requirements, tender responses and data room material. • Liaising with regulator and and seeking agreement for wider strategic decision • Designing and initiating internal business projects to achieve wider programme goals and strategy, including significant IT implementation.

Sesame Bankhall GroupProject Manager

Jan. 2013 - Jan. 2014United KingdomReporting directly into the Programme Director I was responsible for delivering step change enhancements to the Groups system and controls environment. Key achievements include: • Managed the procurement, tendering and successful rollout of a electronic identification and verification (EID&V) system to 1,000 adviser firms • Designed and delivered roadmap for TCF, risk strategy and governance changes • Managed the delivery of a revised T&C scheme and associated technology integrations with inhouse systems, achieving significant reduction in manual effort. • Delivered 3rd party solution changes to compliance systems that saw customer file case checking automated • Implemented review of organisation processes and procedures to align to new TOM and various implementations of 3rd party technology • Delivery and management of data dictionary and data warehouse solution to streamline reporting and MI within the organisation.

Sesame Bankhall GroupProject Manager

Nov. 2011 - Dec. 2012United KingdomI managed several workstreams within the overall project to ensure compliance with the FCA RDR Deadline by 31 December 2012. Key achievements include: • Setup of project governance, including RAID logs, projects plans and reporting for all project workstreams • Responsible for all wider project reporting, including presentations to Executive and Board members • Design, Delivery and ongoing tracking of training to circa 3,000 financial advisers to achieve required competence • Managing implementation of new IT system for ongoing training and support

Sesame Bankhall GroupVarious Roles

Nov. 2003 - Jun. 2011Huddersfield, United KingdomUndertook a variety of roles within the organisation including member payments, customer relations and credit management.