COMPLIANCE GENERALIST who has worked in a variety of areas in compliance including monitoring/audit, CONC, PRIN, SYSC, Conduct Risk, COS, TCF, AML, KYC, 3 lines of defence, data protection including sound knowledge of GDPR and PIA’s, management, complaint handling and policy making. Previously as a Training & Compliance Supervisor, held responsibility for a number of IFA firms from small one-man bands to larger companies with multiple advisers. Monitored business activity and approved advertising, social media and literature.
CeFA. CeMAP. ACSI
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