Andrew Scott

PERSONAL PROFILEAn effective Senior Manager with extensive experience in leading and engaging sizeable operational teams in the Financial Services Industry. A focused and driven individual with over 18 years Operational Management experience incorporating definition and delivery of strategic goals, initiation and oversight of strategic and tactical projects with experience of team management ranging from 5 to 50 personnel.

KEY CAPABILITIES

Leadership - Focus on staff development and performance delivery on a measured basis, with an ability to transfer business direction into tactical plans.

Strategic Planning – Building on sound operational basics to drive strategic change. Planning and control – Ensuring timely and on budget delivery of change and improvement Risk Awareness –Ability to identify key risk areas within operational processes and

providing solutions to reduce exposure.

KEY SKILLS

Generic Business Skills Influencing – ability to engage the support

of individuals when required and influence staff at all levels

Relationship building – establishes solid trusting relations that last across organisational boundaries

Presentation skills – ability to deliver presentations/workshops and can engage an audience

Commercial awareness – sees things in their business context and links ideas to the bottom line

Business Excellence – target driven and creates climate of continuous improvement

Analysis – enjoys finding the root cause of issues and behaviour and plans to overcome these

Change Management – is comfortable with change and uncertainty and managing staff through change

Negotiation – can work with others to achieve a mutual win-win situation

Risk Awareness – can produce clear and informed proposals to articulate objectives and deliverables

Leadership – creates a climate and platform for managers and staff to perform, giving direction and empowerment

Teamwork - Values the benefits of sharing ideas with others and being mutually supportive

Resourcing and People Development Training and development coaching for

direct reports and talent team Mentoring – helping staff reach personal

bests / career and life goals Production of job profiles Future Leader assessor and selector Performance Management

Operational Management The facilitation, production and articulation

of strategic plans and their translation into tactical operational delivery

CAREER PROGRESSION

Director European Voting Operations November 2003 to date ADP - Broadridge Financial Solutions Limited

Responsible for the delivery of Proxy Voting into Europe for both direct UK Sub custody clients and Global Custodian clients.

Defined structure to accommodate initial manual process requirements with the flexibility of change as greater automation achieved.

Installed a control focus resulting in the reduction of errors made. Initiated procedural review ensuring year on year error rate is reduced. Managed to headcount, budgets without service degradation throughout the financial

downturn. Frequent direct interaction with Clients Oversight of successful project to relocate Operational functions from New York Office to

London within resource and budget framework

Manager UK SettlementsAug 1998 - Nov 2003 The Bank of New York

Manage a team of 16 in the settlement of UK Equities, processing around 11,000 trades per month with an approximate value of £700 million

Ensure tight procedures are in place and reviewed regularly keeping risk to a minimum. Review performance statistics and take remedial action where required. Implement training plans and objectives for Team Leaders and associates. Contribute to own training plan identifying opportunities to develop knowledge and skill. To keep abreast of changes within the Securities Market and any technological

developments that would improve settlement performance. Plan the use of resources within budgeted guidelines Recruitment and appraisal of staff Oversee the merger of two Custody systems ensuring functionality and staff training was

fully planned.

Assistant Manager Stock and Cash ReconciliationsDec 1996 – Aug 1998 The Royal Bank of Scotland

Managed a team of 25 in the reconciliation of 23,000 UK equity positions and the clearance of exceptions raised during a 6 monthly cycle.(approx 1,200 differences)

Ensured accurate management information statistics were available and used where repeated errors could be avoided.

To train, manage and motivate staff on an ongoing basis Negotiated team objectives and ensured they were achieved within agreed timeframes.

Assistant Manager Crest TransitionsJan 1996 – Nov 1996 The Royal Bank of Scotland

Managed a team of between 8 and 50 during the dematerialisation of over 750,000 share certificates into CREST.

Awareness of technological changes and market requirements for dematerialisation into CREST.

Supervisor UK Settlements and Corporate ActionsJan 1991 – Dec 1996 The Royal Bank of Scotland

Supervise a team of between 6 -12 people in the Settlement of Unit Trust Settlements and processing of Institutional clients corporate action requests, including Rights Issues, Takeovers, Open Offers and Scrip Dividends

Early Career 1986 -1990Senior Corporate Actions AssociateSettlements clerk

KEY ACHIEVEMENTS

Project managed the introduction of CREST voting onto the Broadridge platform which allowed for increased volume and reduced cost through processing efficiencies.

Introduction of automated Proxy Card process into the UK market, providing a high degree of automation and a reduction of risk associated with manual card creation.

Successfully dematerialised RBS’s share certificates into CREST and resolution of stock exceptions identified during this process. This involved coordinating staff and work flows seven days a week.

Certified facilitator “Leading at the Speed of Trust” - Franklin Covey

OTHER INFORMATION

Personal interests – Family, Golf, Photography and professional development within my areas of specialism.

IT literacy – Word, Excel, Powerpoint, Internet & email. Driving licence A level - Geography, AS level – Sociology, 5 O’ levels

CONTACT DETAILS

39 Richmond Avenue, E4 9RR Phone (Work) 0207 551 3825 (Home) 0208 928 9907 Email: andy.scott21@virginmedia.com DOB 9th December 1967 Married with two children