Group Policy Framework Transformation - Case Study

Trinnovo Consulting designed and delivered a Board-approved governance framework across 75+ policies and standards for one of the UK’s largest wealth management firms

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

The Challenge

The organisation’s policy estate had become fragmented over time, creating pressure across governance, accountability and regulatory oversight.

75+
Policies and standards required review, alignment and restructuring across the Group.

01.

Governance inconsistency

Policy ownership, governance routes and accountability requirements were not being applied consistently across the Group.

02.

Regulatory exposure

The organisation needed to align policies to regulatory expectations, SMCR responsibilities and the wider risk and control framework.

03.

Delivery pressure

Internal teams needed a sustainable delivery model that reduced reliance on contractors and avoided the cost and rigidity of traditional consultancy.

Required Outcome

A scalable Group-wide Policy Framework built to support Board oversight, regulatory scrutiny and long-term policy management.

The Solution

Trinnovo Consulting delivered the programme through an outcome-based engagement model, combining specialist governance expertise with programme leadership.

01.

Four-week discovery

The engagement began with a four-week discovery phase, reviewing more than 75 policies and standards to identify gaps, inconsistencies, governance risks, and areas for improvement.

02.

Board-approved framework

Working with Group Executives, policy owners, and risk stakeholders, Trinnovo Consulting designed and implemented a Board-approved Group Policy Framework, restructured the policy suite, defined ownership and approval routes, and introduced annual attestation.

03.

Group-wide implementation

The team also supported Group-wide implementation through communications, training, and awareness activity, with knowledge transfer embedded throughout to support long-term internal ownership.

Outcome-based engagement model

Combining specialist governance expertise with programme leadership.

What Was Delivered

Group Policy Framework providing a consistent approach to policy governance across the organisation
Policy Governance Model defining ownership, review, approval, and oversight responsibilities
Policy Suite Rationalisation across 75+ policies and standards
Annual Attestation Process to strengthen accountability and regulatory compliance
Board Approval Framework supporting governance review and decision-making
Policy Tracking Capability to improve monitoring and governance reporting
SMCR Accountability Alignment linking policies to organisational roles and responsibilities
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.

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