(if competent), assisting with client reviews, assisting with records of advice, and ensuring compliance with the Company's Endorsed... your Financial Planning Partner in the financial planning process and proposition to clients. Be present in all compliance officer...
compliance and operational efficiency. Identify risks using data analysis and recommend internal control measures... management, or compliance preferred. Strong proficiency in Data Analytics (non-negotiable). Experience with Sarbanes-Oxley (SOX...
and ensure regulatory compliance by providing required documentation and explanations. Stay up to date with changes in...
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