Following on from the enormous success of our inaugural event last Autumn, we are delighted to announce the second WealthBriefing Operational Strategy Summit, taking place on Thursday 1 October in London.

Technology’s place is now firmly cemented into the practice of wealth management and private banking firms, from back-office shake-ups to the high demand for slick digital client interfacing. Furthermore, as regulators in the UK and internationally impose stringent requirements, firms must implement the right operational strategy for their business.

The WealthBriefing Operational Strategy Summit will bring together chief operating officers, expert consultants and technology specialists across three business-critical panels. Delegates will receive top-level insight from technology and operations gurus on creating and developing the best business practice and how to push operational strategy forwards.


08:15 – 09:00 Registration and Breakfast 09:00 – 10:00 Technology As A Differentiator – Attracting And Retaining Advisors And Clients Technology has become essential to not only improve back-office efficiency, but also in improving client relationships with superior reporting platforms and being better able to track their risk profiles. Furthermore, recent research has proven how technology can affect the day-to-day productivity of an advisor. Significant developments to be covered as part of this panel include: • Showcasing clients how their investments perform against market expectations in relation to their objectives • Making clients “stickier” by creating a long-term unified financial plan with holistic visualisations • Past performance and scenario modelling accessibility on CRM dashboards • How technology can help clients to understand the risk characteristics of portfolios and what they are investing in • Using Big Data for predictive marketing and product development • Technology as a staff recruitment and retention differentiator 10:00 – 10:40 Networking and refreshments 10:40 – 11:40 Dealing With Politically Exposed Persons: From Onboarding To Client Management Politically-exposed persons have been a key focus of the FCA in the past year, with sanctions still held on powerful individuals internationally. This panel will look at what processes should be implemented into the onboarding process at banks and wealth management firms to best accommodate ongoing monitoring of high-risk clients. Areas to be explored include: • Establishing a screening process for existing clients for potential changes in risk levels • Onboarding for continued due diligence: fully exploring and recording client relationship for ongoing monitoring • Eliciting sensitive information, such as source of wealth, effectively • Garnering information on expected account activity during onboarding to ease AML processes in the long-term • KYC past onboarding – systemising frequent checks on PEPs, including fuzzy matching • Compliantly offboarding a high-risk client • International regulations: making sure information from international correspondent banks comply with UK regulations 11:45 – 12:45 Harnessing The Transformative Power Of Technology: How Technology Can Drive Organisational And Cultural Change Both clients and regulators are demanding for greater cross-departmental collaboration from their wealth managers, from demonstration of suitability for an investment product to multi-levelled communication when giving advice. This panel will assess how technology can help provide the avenues for strong collaboration at firms to drive better performance, as well as how a digitalised and documentable platform will help improve overall culture, touching on elements such as: • How has technology helped to increase collaboration when demonstrating suitability of investments? • The use of technology to create proactive dialogues between a client and their relationship manager in a curated and secure manner • Using feedback to instigate a client-to-institution approach to product design • How avenues for regular feedback can be compiled into a digital client portal 12:45 – 13:40 Lunch and Networking


Date and Time

Date: Thursday 1st October - 2015
Time: 8:15 am – 2:00 pm


ETC St Pauls

Address: 200 Aldersgate, London, EC1A 4HD

About our Sponsors



Alessandro Tonchia



Alessandro is a Founder of Finantix. As Strategy Director, he focuses on the company’s growth and long-term product direction. Alessandro has worked in product development and was responsible for large […]

Duncan Ash

Director, Financial Services


Duncan Ash is responsible for financial services market development at Qlik, which covers retail banking, insurance and capital markets. Duncan draws on 18 years’ experience of designing and delivering solutions […]

Emma Radmore

Managing Associate - Financial Services and Funds

WealthBriefing Operational Strategy Summit – London, 2015

Emma is a managing associate in the financial services and funds practice and was admitted in 1991. She advises on all aspects of regulation under financial services legislation and her […]

Florian Pixner

Managing Director

Wealth Monitor

In his role as managing director of Wealthmonitor (part of the Mergermarket Group) Florian, together with a skilled team of product experts as well as sales, marketing and training professionals, […]

Gary Linieres

Chief Executive


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 […]

Ian Woodhouse

Board Advisor and Partner


Ian is an experienced board and executive advisor/partner to wealth and asset managers; family offices, software firms and fin-techs helping to achieve and accelerate their path to be future ready […]

James Howell

Senior Manager


James Howell leads Accenture’s UK wealth management practice. He has worked across the UK, Europe and the US to design and deliver new business and operating models to banking and […]

John Blackman

Chief Executive Officer


John has been at the helm of JHC for over 10 years. A computer science graduate from Imperial College, John was one of the original authors of the FIGARO system […]

Mark Gibbins

Chief Operating Officer


Mark joined Barclays Wealth and Investment Management in January 2015. As chief operating officer he is responsible for ensuring consistency and efficiency for operations and technology. Previously, Mark was head […]

Mark Spiers

Head of Wealth Management


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 […]

Mike Toole

Owner Director

Elterwater Consulting Ltd

Mike is advisor to families, venture capital houses, start-up and growth business (as Board Adviser/NED). He is an investor, Co-Founder and formerly group chief operating officer of wealth manager and […]

Paco Hauser

General Manager, EMEA


Paco Hauser is responsible for delivering projects to the client base. Paco has over 20 years of international experience in the financial services, the IT and the management consulting industry. […]

Verona Smith

Head of Platform

Seven Investment Management

Verona’s track record spans more than two decades, three continents, major organisations such as Legal & General, American Express and BT Financial, and the complexities of wraps, platforms, as well […]