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Work Background
The Openwork PartnershipMortgage & Financial Adviser
May. 2024Leeds, England, United KingdomBeing a part of Creative Financial Management Ltd, an Appointed Representative of the OpenWork Partnership I can offer holistic Financial Advice including mortgage, protection, pensions and wealth management advice to individuals and small business owners. I strive to bring value over and above the fees that you will pay for advice, with over 10 years of experience in financial services working for some prestigious financial institutions in London. I bring a high net worth touch to retail and mass affluent and private clients spanning the whole U.K.
Amber RiverCompliance Manager
Nov. 2022 - Mar. 2023I joined Amber River East Anglia to take care of the control function of circa 30 staff including Financial Advisers and Support Staff. My duties are and not limited to the following:
• Implementing change through Improving systems and controls through relationship management
• Collaborated effectively to deliver a proposal to Executive Team concerning people change.
• Leadership, project management and digital transformation
• Implementation of back-office software (CRM) by using technical knowledge
• Led phase one of project to approval by management leadership team for the implementation of a computer assisted report writing software to include all due diligence AML anti-fraud and anti-corruption anti-bribery and other risk management and compliance aspects, including automatically updated appendices to keep up to date with fiscal and regulatory changes. • Ad hoc file checking and thematic reviews. • Collaboration with the Financial Conduct Authority (FCA) and Head Office by presenting Management Information(MI) records. • Influenced head office to implement new principles of good investment management governance to implement across the regional hubs. • Regulatory reporting to FCA through regular RegData updates
Kleinwort HambrosWealth Planning Consultant (UHNW/HNW)
Apr. 2022 - Nov. 2022London, England, United Kingdom• Drafted sales pitches and presentations in conjunction with marketing for various tax-efficient investments, including Venture Capital Trusts, Enterprise Investment Schemes, Nil Rate Band Trusts, Discounted Gift Trusts, Loan Trusts, and Cashflow modelling by following sound economic principles showing sound commercial awareness. • Streamline processes by leading a project to construct RACI diagrams, share best practictes and triggers for escalation to internal and external compliance monitoring. • Focus on structuring HNWs and UHNW finances by preparing pre- and post-meeting agendas, including report writing for the transfer of assets and insurance policies. • Prepare Cashflow models to highlight inefficiencies in client’s finances as well as stress testing and identifying when the funds would run out if they were to do nothing. • Provide ad hoc technical administration to ensure the smooth onboarding of clients with complex financial situations. • Aid and guidance to internal UK Domestic and Islands staff while managing fiduciary duties of the Bank as a whole. • Attend networking events with VCT and EIS providers to prospect for new clients for the bank.
Constant Financial PlanningDirector Wealth Planning
Sep. 2021 - Apr. 2022London, England, United KingdomTechnical Financial Planning services given to individuals, micro-entities and small companies.
Rotary InternationalInternational Chairperson - London Internet and Innovation Club
Mar. 2021London, England, United Kingdom
Regency Wealth ManagementWealth Management Consultant
Sep. 2020 - Aug. 2021London, England, United Kingdom
Fisher InvestmentsPrivate Client Advice Analyst
Nov. 2019 - Jun. 2020London, United Kingdom• Adapt to the internal processes and compliance standards as part of the HNW client servicing team. • Consult with internal and external stakeholders to ensure communicaton goals were met. • Educate Investment Counsellors on UK Tax and Compliance, legislaƟon, rules, & policy consideraƟons. • DraŌed bespoke financial reports for clients held to compliance standards. • Manage pipeline management of cases from cradle to grave by consulƟng with Associates & administrators including Investment Counsellors based in the U.S.
St. James’s Place Wealth ManagementTechnical Adviser
Mar. 2019 - Oct. 2019London, United KingdomDealing with NHW individuals and companies and their Trusts and Estate planning.
St. James’s PlaceParaplanner
Jul. 2017 - Feb. 2019London, United Kingdom• Preparing and giving guidance to the partner by construcƟng pre-meeƟng agenda’s highlighƟng areas of Finance and Law perƟnent to • the client’s HNW circumstances. Managing external paraplanners & checking their draft reports making sure they are technically sound. • Wring post meeting reports of a technical nature highlighting financial and tax issues planning issues. Ad hoc AdministraƟve tasks.
St. James’s PlaceJunior Paraplanner
Sep. 2016 - Jul. 2017Leeds, West Yorkshire, United KingdomWhilst at Boag England I gained exceptional all round exposure to all matters of retail financial planning dealing primarily with Retirement.
Age PartnershipSales Support / Retirement Planning Specialist
Mar. 2015 - Sep. 2016Leeds, United Kingdom
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