Mark Smith is a senior manager with 30 years of experience in investment management operations and administration. During this time, Mark has been involved in a number of acquisitions and operations transformation programs.
Mark has extensive knowledge of Operational Risk Management and CASS regulations and has significant operations transformation experience. He has been closely involved in building and redesigning operational procedures, outsourcing business processes and rationalising functions in order to improve client service, streamline cost and resource management and, where appropriate, implement economies of scale.
Mark has a keen regulatory awareness and understanding, having managed annual review exercises with external auditors (both CASS and assurance work related) as well as being responsible for formal communications with the FCA in respect of any CASS issues.
Mark manages client money and collaborates with senior managers to formulate and embed company strategy and values. Mark is responsible for the design and maintenance of operational policies and procedures while overseeing client and investor service. Mark is a responsible leader, committed to productivity, high-quality service, accuracy, and regulatory compliance.
Previously, Mark was Head of Client Operations at Brooks Macdonald. Within this role, he was responsible for the day-to-day management of the team, ensuring company policy and procedures were adhered to at all times and ensuring a high level of service was consistently delivered.