Compliance & Risk Manager – Wealth Management recruitment
Activities will include understanding and briefing the business on its statutory responsibilities, oversee the process to ensure wealth advisors become threshold competent and maintain the skills. Communicate to and train staff on the firm’s regulatory requirements/guidelines and prepare the business for any changes to them e.g. Retail Distribution Review (RDR) Enforce and monitor the training and testing requirements to make sure all wealth advisors are correctly classified Oversee and record the sign off for threshold competent wealth advisors Assess the training needs of supervisors and sales Read more […]
August 9, 2012
• Tags: Asset Management careers in the UK, Compliance & Risk Manager, Wealth Management recruitment • Posted in: Financial • Comments Off on Compliance & Risk Manager – Wealth Management recruitment