United Kingdom
Experienced Operational Control Manager with over 10 years of expertise in business controls, regulatory reporting, and risk management within the asset, wealth and investment management businesses. Proven track record in designing, implementing, and monitoring control frameworks that support regulatory compliance and mitigate operational risk. Extensive experience overseeing investment management restrictions, regulatory reporting obligations and SOC 1/SOC 2 control environments. Working within business management functions, I work closely with stakeholders across operations, compliance, risk, and technology teams to identify control gaps, strengthen governance frameworks and ensure effective monitoring of regulatory reporting risks. Recognised for delivering robust control solutions, driving process improvements and supporting a strong culture of risk awareness and regulatory compliance.
Corient completed the acquisition of Stonehage Fleming as of 1st June 2026
Interim Head of Shareholder Disclosures
- Management of the day to day operations of key strategic clients, including client on boarding, contractual configuration, issue resolution and invoice production and reconciliation - Identification, definition and implementation of business process improvement initiatives - Management of a team of operational staff to meet internal service levels, contractual agreements and ad-hoc client requests
Led projects including key systems project; Sensitive Industries & European Transparency Directive 2 Creation, implementation & maintenance of systems, processes, controls and procedures Coaching and development of 3 analysts Performance reviews and objective management Identification & mitigation of relevant risks Completing due diligence in new markets and instruments to assess reporting implications Manage global relationships with clients, regulators and internal stakeholders Identify and fulfil regulatory requirement Responsible for dealing with compliance reviews & providing information in support of MI / KPIs Ensuring appropriate disaster recovery and business continuity plans are kept up to date
Played a major role in the implementation of the group wide internal audit (GWIA) review classified as ‘high priority’ Implemented the appropriate systems, processes, controls and procedures following the GWIA project Led testing of systems project in order to meet the delivery timeline of the project Developed understanding of the shareholder disclosure requirements of regulators and exchanges across all global territories Coaching and development of 2 analysts Performance reviews and objective management
Liaise with internal legal & compliance to ensure all statutory and regulatory changes are adhered to Provide statutory/regulatory disclosures to companies & regulatory bodies within designated timescales Review & validate data quality Investigation of new funds/instruments Maintaining proper systems and controls to ensure integrity of shareholding disclosure data Assist in the creation of ‘sensitive industries’ workbook and new markets due diligences Source & supply transaction and holding data to other parts of Prudential to ensure global compliance across the group