Harnessing technology to tackle conduct risk

Our ground breaking Breakfast Briefing, “Harnessing Technology To Tackle Conduct Risk” was a great success. Gary Linieres, Wealth Dynamix‘s CEO was one of the 5 panelists that spoke at the event and gave some very insight into the issues behind conduct risk and how to tackle them. The thought-leadership event discussed how technology can drive and manage the cultural change necessary to accommodate conduct risk obligations.

Themes covered included:

• Evidencing systematic workflows to comply with regulatory issues
• Putting the right processes in place for prospective clients
• Managing relationships beyond onboarding
• Improving how we engage with new and existing clients
• Product developments and marketing structures
• Sales processes, compensation and motivating staff: changing how you sell

Speakers


Michael Bennett

Chief Operations Officer, Charles Stanley

Michael joined Charles Stanley in October 2008 as director of ICT and projects. In January 2015 he was appointed as chief operations officer for the group with a direct responsibility for ICT and operations. Prior to Charles Stanley, he was the IT director at Direct Wines for eight years, having joined from National Westminster Bank. Here he held various strategic and executive positions, including head of technology and business management since 1995. He is a versatile technologist and business person, with strong skills in the development and implementation of business and IT strategy. Michael has a deep understanding of how the business and IT perspectives fit together and is an effective executive team member, contributing strategic thinking, awareness of people-related issues, structured problem solving and IT knowledge. He also has international and acquisition experience.

Gary Linieres
Chief Executive, Wealth Dynamix

Gary has over 15 years’ experience in the financial technology arena, encompassing sales, sales management and general management roles in software vendors around the world. A domain expert in the wealth management industry, Gary started his career as a European sales executive for Microbank software. Over a period of seven years he helped build the European business into a substantial operation with several European offices. He ran Microbank’s continental European business in Paris before the company was successfully sold to SunGard. Following Microbank Gary held several senior sales management and directorships at Netik, Reuters and DSTi before finally becoming managing director of Financial Objects’ wealth management division. In 2007 Gary co-founded Third Financial Software and in 2012 sold his stake in TFS to start his own venture. Gary is a co-founder and shareholder in Wealth Dynamix.

Emily Morris
Director, Acanthus Consulting

Emily has held a variety of director-level and senior roles in private client business development and communications over the past decade and a half with, amongst others, Rathbones and Barclays Wealth. She established her own consultancy at the end of 2014 focused on helping firms improve referrals from clients and professional advisors, and using client insight and communications to support and promote good conduct outcomes. She is an expert on client insight, distribution dynamics and digital marketing, and a regular blogger on these issues. Emily is a member of the business advisory boards of Keble College, Oxford’s 20:20 Campaign and Mountview Theatre School.

Vinita Ramtri
Head of Conduct Risk, Barclays Wealth and Investment Management

Vinita is the head of conduct risk at Barclays Wealth and Investment Management and has been with the business since 2012. Conduct, for Vinita, ultimately boils down to clients trusting the firm to do what’s right for them. It is then up to the firm to determine how to live up to that trust.

Prior to joining Barclays, Vinita was a senior project manager at BSkyB focused on strategic change, the most recent one being the creation and delivery of a Wi-Fi proposition through the acquisition of “The Cloud”. Vinita has also worked in the Indian offshoring industry, supporting the transition of significant business processes in the UK energy sector. Vinita has also been a senior leadership trainer where she designed and delivered sessions on themes such as performance management and emotional intelligence. Vinita started her career in the hotel industry as a graduate with The Oberoi group of hotels in India.

Mark Spiers
Head of Wealth Management, Bovill

Mark’s team provides advice and support predominantly to clients in the wealth management and private banking sector. He has 16 years of experience in the financial services industry. Mark has held the MLRO (CF11) role for several institutions and has been head of compliance (CF10) in the UK for Emirates NBD and Kleinwort Benson. Mark has also worked in compliance for UBS Wealth Management, focusing on anti-money laundering in London, Zurich and other financial centres. He has experience of UK, EU and US regulations, in particular their application to the wealth management industry and has a strong commercial focus and understanding of the wealth management sector. In addition to his work in-house, Mark has provided training and consulting to a number of brokers, banks, accountancy and law firms and has a deep interest in financial crime, suitability and governance matters.

If you would like any more information anout this event, please don’t hesitate to get in touch.

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Wealth Dynamix delivers Client Lifecycle Management solutions to the world’s leading private banks and wealth and asset management firms.

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