Dominic Flood

An experienced Senior Manager working in the Financial Services sector for 15 years, managing operational teams across the UK and India.  Strengths are knowledge of financial markets and regulations in order to develop and implement operational strategies to create a seamless customer journey, alongside highly motivated team members.  Subject Matter Expert in Employee Share Plans.

• Department Head for all Share Plan delivery across the UK and India, including SIP, SAYE, Corporate Actions, International Shared Trust Accounts and Client Admin
• Responsible for upholding all associated regulatory requirements, including CASS, MIFID and Consumer Duty
• Accountable for SLA delivery for 250 clients 
• Managing client relationships and supporting Strategic Reviews, presenting relevant MI
• Leading a team of 80 team members across 3 locations
• Committee Member – IT Project Delivery; India Transitions; ISTA
• Overseeing project delivery, including technology, product and customer journey
• Responsible for all Business Quality Assurance for Share Plan Operations for Corporate Markets Europe across the UK and India
• Level A Signatory for the business 

• IOC Plus – Investment Operations Certificate (Global Securities Operations)
• IOC - UK Financial Regulation 
• IOC – Asset Servicing
• IOC - Introduction to Securities and Investments
• NVQ Level 3 Management
• NVQ Level 2 Team Leading
• AAT Foundation Level – Accountancy