servicing and any other requirements; Ensuring that compliance documentation and Financial Needs Analysis (FNA)accompany and further that the Compliance is completed correctly; Ensuring that all Compliance documentation is loaded loaded on X-plan for the Internal Compliance Officer as well that all FNA's are attached to Xplan on a
servicing and any other requirements; Ensuring that compliance documentation and Financial Needs Analysis (FNA)accompany and further that the Compliance is completed correctly; Ensuring that all Compliance documentation is loaded loaded on X-plan for the Internal Compliance Officer as well that all FNA's are attached to Xplan on a
Alteration Quotes to be done prior to appointments. COMPLIANCE Drafting Financial Needs Analysis, Record of Ensuring that all Compliance documentation is saved on X-plan and that compliance documentation and Financial
Alteration Quotes to be done prior to appointments. COMPLIANCE Drafting Financial Needs Analysis, Record of Ensuring that all Compliance documentation is saved on X-plan and that compliance documentation and Financial
completing client documents in the parameters of the compliance department Learn and develop an understanding
completing client documents in the parameters of the compliance department Learn and develop an understanding
Educate on industry regulations, compliance requirements
activities, including the performance of
compliance function, specifically with respect to FAIS and
/>licensed, and represent the Sales Team during compliance monitoring visits
Competencies required
operations and customer satisfaction. Ensure compliance with company policies, procedures, and sales
operations and customer satisfaction. Ensure compliance with company policies, procedures, and sales