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Role Overview
The COO is accountable for the end-to-end operational performance of the wealth management business, ensuring that systems, processes, people, and controls support the delivery of compliant, efficient, and client-centric services. The role ensures operational resilience, oversees day-to-day execution, and drives strategic transformation across the firm’s platform operations, client onboarding, portfolio administration, technology, and outsourced service providers.
The COO acts as a key member of the Executive team, providing challenge, leadership, and direction to ensure the firm meets FCA expectations under SYSC, Consumer Duty, Operational Resilience, and Outsourcing & Third-Party Risk Management.
Core Responsibilities
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Operational Strategy
- Develop and execute the operational strategy aligned to business goals, regulatory expectations, and client outcomes.
Operational Resilience
- Ensure compliance with FCA operational resilience rules, including impact tolerances, mapping, scenario testing, and remediation.
Client Onboarding
- Oversee onboarding, KYC/AML processes, suitability assessments, and client lifecycle management.
Platform & Administration
- Manage custody, dealing, settlement, reconciliations, corporate actions, and portfolio administration.
Technology & Systems
- Own the technology roadmap, system selection, and data focus.
Third-Party Oversight
- Oversee outsourced providers (platforms, custodians, tech vendors) ensuring compliance with SYSC 8 and operational resilience expectations.
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Process Optimisation
- Drive automation, efficiency, and scalability across operational workflows.
Risk & Controls
- Maintain robust operational risk frameworks, incident management, and control testing.
Consumer Duty
- Ensure operational processes deliver good client outcomes, fair value, and transparent communications.
Governance
- Provide MI to the Board, chair operational committees, and contribute to strategic decision-making.
Business Continuity
- Maintain and test BCP arrangements, ensuring readiness for disruption.
Change Management
- Lead operational change programmes, platform migrations, and regulatory implementation projects.
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