Understanding, deeply, the people, processes, governance, technology, and data that underpin the operational blueprint of an asset or wealth manager is at the core of my service offering. Through rigorous current state analysis, a defined operational taxonomy, a focus on continuous improvement, and thorough documentation of the journey, I am equipped to serve investment and wealth managers of any size create strategic operational processes.

I launched my career in the regulatory, risk, and compliance space. With Capital Group (“CG”), I wrote their comprehensive regulatory and operational procedures as well as governance framework for the UK’s Senior Manager & Certification Regime. Additionally, I helped manage a front-to-end compliance program for CG’s wealth and institutional businesses. I currently help lead Alpha FMC’s Regulatory Compliance & Risk team. At Alpha FMC, I have covered firm-based electronic communications regulations and regulatory frameworks around cryptocurrency.

I begin every target operating model engagement by developing a custom client-based operational and technical taxonomy across all functions (technology, data, front office, middle office, and back office). Through parsing through each existing capability, I provide a formal RAG backed by research, industry experience, and detailed interviews and document review. After all areas of the business have been analyzed, I offer formal, measurable, and detailed recommendations paired with detailed operational process maps. In addition to process maps, I develop organizational charts, procedure documentation, and accompanying roadmap materials. I sometimes assist with technical architecture.

Since I started my career, I worked across all public asset classes, even, at times, working with private assets within the wealth management space. I can help asset and wealth management firms of any size think through their product suite in a way that is accessible to all customers and intermediaries. Minimizes operational complexity, maintaining low fees, and ensuring diverse asset classes experience minimal operational friction is the only way I know how to operate.

In addition to providing a comprehensive current state assessment across regulatory compliance, investment compliance, and risk functions, I can also lead compliance coding efforts regardless of front office OMS systems. I have direct experience with BBG AIM and Charles River.

Looking for a fractional FTE? I would be happy to discuss the possibility of filling in to assist with BAU work at a rate that makes sense.