Review: in conjunction with the external compliance officers audit Partner Directed Advice cases and large Manage the relationship with the external compliance officers and analyse compliance reports received from Monitoring team tasks (advice monitoring and Compliance Officer tasks) to ensure that risks identified are
Review: in conjunction with the external compliance officers audit Partner Directed Advice cases and large Manage the relationship with the external compliance officers and analyse compliance reports received from Monitoring team tasks (advice monitoring and Compliance Officer tasks) to ensure that risks identified are
proposition to clients. Be present in all compliance officer meetings with your Financial Planning Partner(s) Partner(s). Address all remedial actions from the compliance officer timeously. Operational support for Portfolio
proposition to clients. Be present in all compliance officer meetings with your Financial Planning Partner(s) Partner(s). Address all remedial actions from the compliance officer timeously. Operational support for Portfolio
accuracy and compliance. Comply with financial policies and regulations. Coordinate with Head Office and external
accuracy and compliance. Comply with financial policies and regulations. Coordinate with Head Office and external
accuracy and compliance. Comply with financial policies and regulations. Coordinate with Head Office and external