01.
Governance inconsistency
Policy ownership, governance routes and accountability requirements were not being applied consistently across the Group.
Sector: Wealth Management
Capability: Governance Transformation | Policy Management | Regulatory Accountability | Risk & Controls
Delivery Model: Outcome-Based Consulting Engagement
Focus Areas: Governance | Policy Management | Board Oversight | Regulatory Compliance
Overview - Modernising Policy Governance
One of the UK’s largest wealth management firms engaged Trinnovo Consulting to deliver a Group-wide policy governance transformation spanning more than 75 policies and standards.
The organisation needed a more consistent approach to policy ownership, regulatory accountability, Board oversight, and integration with the wider risk and control framework.
Trinnovo Consulting designed and implemented a Board-approved Group Policy Framework, introduced an annual attestation process, and aligned policy management to organisational roles and responsibilities, including SMCR accountabilities.
Delivered through an outcome-based consulting engagement, the programme strengthened governance maturity and created a scalable model for future policy management.
75+
Policies and standards reviewed
30 weeks
Discovery to implementation
£140k+
Saved versus traditional consultancy models
Board approved
Governance framework delivered
Group-wide
Policy ownership established
Annual attestation
Regulatory accountability embedded
What Was Delivered
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Group Policy Framework providing a consistent approach to policy governance across the organisation
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Policy Governance Model defining ownership, review, approval, and oversight responsibilities
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Policy Suite Rationalisation across 75+ policies and standards
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Annual Attestation Process to strengthen accountability and regulatory compliance
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Board Approval Framework supporting governance review and decision-making
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Policy Tracking Capability to improve monitoring and governance reporting
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SMCR Accountability Alignment linking policies to organisational roles and responsibilities
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Risk & Control Framework Integration, embedding policy management within wider governance processes
The Impact
The programme established a sustainable governance model that strengthened accountability, improved policy oversight, and created greater consistency across the organisation.
By aligning policy management to the wider risk and control framework, the organisation now has a scalable approach to governance that supports regulatory requirements, Board oversight, and future organisational change.
Meet Our Programme Leader
Daniel Tapsell is an industry-leading specialist in interim and contract hiring within the financial services sector, with 13 years’ experience delivering high-impact talent solutions for complex and mission-critical assignments. Renowned for partnering with senior leaders across risk, compliance, transformation and operational functions, Daniel combines deep market insight with a vast network of highly skilled professionals to solve resourcing challenges quickly and effectively. As a senior leader and key driver of interim hiring strategy, he has built and expanded specialist teams, consistently delivering outcomes that support business growth and strategic imperatives. His approach blends commercial acumen with a commitment to quality, helping organisations to secure the right talent at the right time across the UK, Europe and beyond.
