Steve Walker

Barclays Wealth Management 08/04/2008 - 08/04/2024

Head of 3rd Party Investment Products

EXECUTIVE OVERVIEW Quantifiable success in driving strategic vision and delivering business transformation: proven ability to define, build and implement new investment product and service propositions for discretionary, advisory, retail platforms & financial planning services. Experienced in interpreting data, MI and customer insights, to ensure optimal customer experience & journey, reducing business risk and driving revenue growth. Oversaw growth in AUM at Barclays from £3bn to £14bn. Deep knowledge of the Regulatory environment for investment products & services: extensive experience in leading and managing major Regulatory Change projects (Consumer Duty, SDR, MiFID II, RDR etc). Expertise in interpreting regulatory change to assess impact on business and operational requirements. Expertise in governance, oversight and control: experienced in designing and implementing comprehensive governance and control frameworks, including policy & process definition; control design & implementation and ongoing effectiveness monitoring – ensuring good customer outcomes. Responsible for implementing new processes for annual product & service reviews, target market reviews & fair value assessments and RCSAs. Adept at internal & external stakeholder management and influence: ability to build strong and constructive relationships with multiple stakeholders, within complex matrix organisational structures. Highly effective at collaborating with, and influencing, stakeholders at all levels of seniority. Quantifiable success developing and maintaining external relationships; negotiating terms of business; and delivering strong results for both partners. Highly successful team & people leader: proven ability to build and lead large, diverse and highly successful teams, fostering cultures built on entrepreneurial spirit and collegiate enterprise, to drive individual and collective results. Executive Committee leadership roles: chaired and/or a member of a range of executive committees, including Investment Committee; Risk Committee, Product Control Committee, Responsible Investing Committee HEAD OF 3rd PARTY INVESTMENT PRODUCTS Established and led the team accountable for the end-to-end delivery of the investment propositions for Mutual Funds, Alternative Funds, ETFs, Structured Products and Venture Capital Products, across Wealth, Retail Platform and Pension distribution channels. • Led, motivated and developed a team of 15 (Analyst to Director level), with overall responsibility for product development & management; relationship management & negotiations with external Asset Managers; risk & control oversight; marketing and distribution; and, ultimately, for profitability of the proposition. • Key contributor to the development of investment service propositions. Defining how products are incorporated into discretionary, advisory, execution only & financial planning propositions & model portfolios. • Designed and implemented business processes and controls, and investment decision making policies, creating a robust 1st line of defence governance framework, covering the entire product life-cycle, from onboarding, through ongoing management to removal. Responsible for annual product & service reviews, and target market & fair value assessments – including monitoring KPI’s and implementation of action plans to resolve issues. • Recognised as the lead SME on regulatory change implementation. Responsible for interpreting new regulations – designing and embedding new operational processes and controls, to ensure continuous compliance with regulatory obligations and business risk appetite. Lead member of the project teams for MiFID, Consumer Duty, SDR and Anti-Greenwashing regulations. • Enhanced relationships with external asset manager partners, by attending and contributing to their regulatory change projects, guiding them on implementation strategies to meet the needs of their distribution partners. • Enthusiastic supporter of the colleague agenda, including acting as DEI ambassador, delivering multiple colleague sessions and acting as a mentor to a number of colleagues across the business. • Chair or member of various executive committees, including investment, risk, product and control committees

Quinlan Private Assets & Real Estate 06/05/2006 - 07/31/2008

Head of Investments

Led on the set-up and establishment of the UK Office of this Irish-based private equity real estate company, including taking the business through FCA Regulatory Approval. Responsible for defining overall business strategy and target operating model; defining governance standards; implementing investment policies, processes & risk controls; and advising UHNW clients on all aspects of private equity and real estate investment opportunities. Delivering $500m of AUM into UK and European real estate projects

Citi Private Bank 01/08/2001 - 06/02/2006

Head of Investment Advisory

Established, recruited and led the team of 10 Investment Advisers. Responsible for devising and implementing a business strategy which established the UK Investment Advisory business as the fastest growing and most profitable within Citigroup’s European Private Bank – delivering AUM growth of $1bn+. • Responsible for acquisition, management and retention of all investment related business. Defining and implementing complex tailored investment solutions for UHNW clients using a broad range of products. • Educating Private Banking sales-force on more complex investment products, via group and individual presentations.

Coutts & Co 01/15/1990 - 12/29/2000

Discretionary Portfolio Manager

Responsible for asset allocation, portfolio construction, and managing individually tailored investment portfolios for, mainly, non-UK HNW clients. • Designed, launched, and managed a Fund of Fund mandate, growing AUM from £20m to £200m • Funds and stock research & selection for all asset classes, but a specialist for US equities with responsibility for managing in-house Model Portfolios.