Chief Operating Officer at Masthead Financial Planning (2022-12 – Present)
Lead the operations function of Masthead Financial Planning, a leading independent financial advice platform and subsidiary of Old Mutual PLC, partnering with the executive team to translate strategic priorities into actionable operational plans and measurable KPIs
- Develop and implement strategies to optimise operational processes, streamline service delivery, and embed a culture of continuous improvement across the business
- Drive regulatory compliance and corporate governance across the organisation and its FSP network, with hands-on application of FAIS, FICA, AML, and Financial Intelligence Centre Act requirements
- Oversee FSCA regulatory affairs including licensing submissions, audit responses, and ongoing engagement with the Financial Sector Conduct Authority
- Develop, implement, and maintain AML and anti-financial crime policies and procedures, including client onboarding controls aligned to regulatory requirements
- Manage FAIS Ombud complaint responses, case preparation, privileged legal memoranda, and client communication strategies
- Author and maintain the organisation's Market Conduct Policy, Outsourcing Policy, and Financial Crime Risk frameworks, ensuring alignment with evolving regulatory obligations
- Prepare and present strategic Board Packs, performance reports, and business plan reviews, translating complex operational data into clear executive-level insights
- Build, lead, and develop a high-performing operational team, setting clear performance metrics, conducting regular reviews, and fostering a culture of accountability and collaboration
- Lead internal change management initiatives, aligning operational functions with strategic goals and overseeing project management activities across the business
- Manage relationships with third-party vendors and service providers, negotiating and overseeing agreed SLAs to ensure efficient, high-quality, and cost-effective service delivery with effective oversight and reporting on all outsourced activities
- Drive CRM strategy and platform evaluation, championing AI and automation integration to modernise compliance monitoring, adviser support, and internal reporting workflows
- Coordinate Key Individual (KI) and FSP adviser presentations, compliance monitoring reviews, and professional indemnity (PI) coverage
- Support adviser network with RDR (Retail Distribution Review) positioning, fee disclosure, and value proposition articulation
Head of Operations at Masthead Financial Planning (2011-09 – 2022-12)
Held overall ownership and management of the operations function, developing and implementing all operational aspects of the business to support sales and distribution areas nationally. Served as Principal and Key Individual (KI) of the FSP, carrying full regulatory accountability for the licence under FAIS, FICA, and AML frameworks.
- Built and led the compliance, governance, and adviser support infrastructure across the national network, establishing operational procedures that strengthened risk management and service consistency
- Designed and maintained a robust risk management framework, identifying and addressing regulatory and legal risks in collaboration with compliance and legal teams
- Managed AML onboarding procedures and financial crime controls, ensuring client-facing processes remained aligned with regulatory requirements
- Oversaw vendor relationships and ensured compliance with service level agreements (SLAs), implementing oversight mechanisms to monitor and report on outsourced activities
- Led change management initiatives to align operational functions with strategic goals, overseeing project management activities and cross-functional collaboration
- Developed and managed a high-performing operational team through talent development, performance management, and structured mentorship, building capacity to meet evolving business needs
- Drove operational efficiency and scalability initiatives, contributing to adviser growth, platform development, and improved client experience outcomes
- Contributed to board-level reporting and executive governance, providing data-driven operational insights to support strategic decision-making
National Operations Manager at Masthead Distribution Services (2009-03 – 2011-09)
- Managed the operations function at Masthead Distribution Services
- Developed and implemented all operational aspects of the business to support the sales and distribution areas
- Supported national distribution of financial products to the independent financial adviser (IFA) market
Member Consultant at Masthead (2004-01 – 2009-12)
- Sales and distribution of multiple product provider products to the IFA market
- Developed and maintained relationships with independent financial advisers across the region
Broker Consultant at Old Mutual (2000-01 – 2004-09)
- Sales and distribution of Old Mutual insurance products to the IFA market
- Built and managed a portfolio of independent financial adviser relationships
Client Liaison Officer at Nedbank (1998-01 – 2000-01)
- Client-facing liaison role within Nedbank, providing banking services and support
