Recent Projects

• Overhauled pension switching advisory processes covering Process Improvements, Risks and Controls, Training and Assessment, and MI dashboards.
• Developed a new ‘principles-based’ Advice & Suitability Framework across all advice and product types for a major UK financial services firm
• Independent reviews of advice suitability for a range of clients and improvement recommendations
• Adviser and specialist training to support launch of new products: product knowledge, application and sales opportunities for a major insurer.
• Operational recovery programme for investment back-office of a large insurer (error rates reduced from 90% to 15% in 6 months)
• “Controllership” programme for business processes in a major insurer (process mapping, risk assessments, controls, assessment, reporting and governance).
• Training and advising financial advisers on new ‘provider’ investment WRAP platforms
• New training and competence regime for FSA Supervisory Teams.
• Establishing training and quality standards for outsourced third-party administration.
• Leading selection process for third-party administrators.
• Revised endowment complaint handling process leading to green audits from FSA, normal turnaround, raising of morale and clients dealt with swiftty
• Provision of various interim managers into client projects: training, process, monitoring, compliance, etc.