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For Companies At a Glance
- Tasks: Lead operational strategy and transform processes for a leading financial services firm.
- Company: Walker Crips Group, a respected name with a century of heritage.
- Benefits: Competitive salary, leadership role, and the chance to drive significant change.
- Why this job: Shape the future of operations while respecting a rich legacy.
- Qualifications: 10+ years in senior leadership within financial services and FCA experience required.
- Other info: Opportunity to inspire teams and lead strategic transformation.
The predicted salary is between 72000 - 108000 £ per year.
The Chief Operating Officer (COO) is responsible for shaping, leading, and executing the operational strategy of the Walker Crips Group. This includes architecting the future operating model following the strategic migration to Pershing Securities Ltd (PSL), embedding robust oversight of outsourced arrangements, and transforming residual manual processes into a scalable, technology-enabled environment. The COO will ensure operational excellence, regulatory compliance, and a consistently high-quality client experience across all touchpoints. The role requires a leader who respects the firm's 100-year heritage while having the courage and capability to dismantle inefficient legacy processes, rationalise complexity, and drive automation. The mandate is clear: rationalise, de-risk, and automate.
Responsibilities
- Oversight & Governance
- Act as primary relationship owner for all key vendors, including PSL.
- Monitor and challenge Service Level Agreements (SLAs) across custody, nominee, and settlement services.
- Ensure compliance with FCA outsourcing requirements (SYSC 8), maintaining strong oversight of the "retained" organisation.
- Streamline committee structures to improve decision-making and operational governance.
- Embed client journey metrics, service standards, and Consumer Duty outcomes into governance forums.
- Provide regular reporting to the CEO and Board on operational performance, risk, and transformation progress.
- Operations
- Oversee daily business and administrative operations, ensuring optimal efficiency and control.
- Identify and eliminate process bottlenecks impacting turnaround times and client satisfaction.
- Lead the management of residual assets not migrated to PSL (e.g., CTFs, non-transferable holdings).
- Direct HMRC, tax, and regulatory reporting functions, ensuring accuracy despite manual constraints.
- Develop long-term strategies for residual assets, including potential sale, specialist migration, or automation.
- Establish policies that promote company culture, operational discipline, and regulatory compliance.
- Onboarding (First Line of Defence)
- Take ultimate accountability for AML, KYC, and Client Suitability checks.
- Implement a rigorous Quality Assurance (QA) framework to ensure front-office submissions meet regulatory standards.
- Transform the onboarding journey from manual and paper-heavy to digital-first, reducing friction and improving client experience.
- Ensure onboarding processes support scalability and growth ambitions.
- Investment Operations
- Lead the Investment Administration and data integrity teams supporting Investment Managers.
- Oversee client-facing support teams, ensuring high-touch service supported by modern CRM tools.
- Rationalise data entry functions, shifting from manual repetition to exception-based monitoring.
- Ensure operational processes support accurate, timely, and compliant investment operations.
- Strategic Transformation & Change Leadership
- Conduct a "First 90 Days" operational audit to identify misaligned roles, inefficient workflows, and opportunities for redesign.
- Lead the design and implementation of the future Target Operating Model (TOM).
- Review technology providers and end-to-end solutions to de-risk, increase efficiency, reduce cost, and industrialise processes.
- Leverage automation tools (RPA, AI, workflow engines such as AWOL) to eliminate manual hand-offs and reduce key-person dependencies.
- Drive cultural change, inspiring teams to embrace modernisation, accountability, and continuous improvement.
- Participate in strategic initiatives including investments, acquisitions, and corporate alliances.
Regulatory Status
This role is designated as a Senior Management Function (SMF24 - Chief Operations Function) under the UK Senior Managers & Certification Regime (SMCR) and is therefore a regulated role subject to FCA approval and ongoing regulatory obligations. The successful candidate must have demonstrable experience operating in a regulated senior management capacity within an FCA-authorised firm and be capable of meeting the FCA's Fit and Proper requirements, including integrity, competence, financial soundness and will be accountable under the Senior Managers Conduct Rules.
Person specification
Experience
- 10+ years' senior leadership experience in Wealth Management or Financial Services Operations.
- Proven experience operating in a Senior or regulated role within an FCA-authorised firm, with demonstrable accountability under the Senior Managers & Certification Regime (SMCR) and familiarity in Statements of Responsibilities, Responsibilities Maps, and regulatory interactions with the FCA.
- Strong understanding of personal accountability under the Senior Managers Regime, including Conduct Rules, regulatory references, and fitness and propriety requirements.
- Experience working with Pershing ecosystems (desirable).
- Proven track record in operational transformation, automation, and organisational redesign.
- Demonstrable experience managing outsourced relationships and vendor governance.
- Deep understanding of CASS, Consumer Duty, AML/KYC, Suitability, and broader FCA regulatory frameworks.
- Strong working knowledge of operational metrics, data analysis, and performance measurement.
- Familiarity with HR, Finance, IT, and other core business functions.
- Strong understanding of business infrastructure, CRM systems, and workflow automation technologies.
Leadership & Behavioural Competencies
- Outstanding organisational and leadership abilities.
- Proven ability to "lift and shift" functions to optimise organisational design.
- Excellent interpersonal, communication, and public-speaking skills.
- Strong decision-making capability and problem-solving aptitude.
- Ability to motivate, mentor, and inspire teams to deliver high performance.
- Courage to challenge legacy thinking while respecting the firm's heritage.
Qualifications
- BSc/BA in Business Administration or relevant field.
- IOD level 4 (minimum) or higher.
- MSc/MBA desirable.
- Relevant regulatory or professional certifications advantageous.
Chief Operating Officer employer: Walker Crips Group
Contact Detail:
Walker Crips Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Chief Operating Officer
✨Tip Number 1
Network like a pro! Get out there and connect with industry folks on LinkedIn or at events. You never know who might have the inside scoop on a COO role or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company’s recent projects and challenges. Show them you’re not just another candidate; you’re someone who understands their operational landscape and is ready to tackle it head-on.
✨Tip Number 3
Practice your pitch! Be ready to articulate how your experience aligns with their needs, especially around operational transformation and regulatory compliance. Confidence is key!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Chief Operating Officer
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to reflect the specific skills and experiences that align with the COO role. Highlight your operational transformation experience and any familiarity with FCA regulations, as these are key for us.
Showcase Your Leadership Skills: We want to see how you've led teams and driven change in previous roles. Use examples that demonstrate your ability to inspire and motivate others while managing complex operations. This will help us understand your leadership style.
Be Clear and Concise: When writing your application, keep it straightforward and to the point. We appreciate clarity, so avoid jargon and ensure your key achievements stand out. This makes it easier for us to see your potential fit for the role.
Apply Through Our Website: Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the position. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at Walker Crips Group
✨Know Your Numbers
As a COO, you'll need to demonstrate your understanding of operational metrics and performance measurement. Brush up on key figures related to operational efficiency, client satisfaction, and regulatory compliance. Be ready to discuss how you've used data to drive decisions in your previous roles.
✨Showcase Transformation Experience
This role is all about transformation and automation. Prepare specific examples of how you've successfully led operational changes in the past. Highlight your experience with technology solutions like RPA or AI, and be ready to explain how these tools can streamline processes and improve client experiences.
✨Vendor Management Insights
Since you'll be acting as the primary relationship owner for key vendors, come prepared to discuss your approach to managing outsourced relationships. Share examples of how you've monitored SLAs and ensured compliance with regulatory requirements, particularly within an FCA-authorised environment.
✨Cultural Change Champion
The ability to inspire teams and drive cultural change is crucial. Think about how you've motivated teams to embrace modernisation and accountability in the past. Be ready to share strategies you've implemented to foster a culture of continuous improvement and operational discipline.
