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Financial Advisor Compliance
2 weeks ago
- Design and deliver engaging training programs to enhance advisors' understanding of regulations and compliance best practices.
- Provide hands-on support to our financial advisors, fostering a culture of excellence through coaching and development to improve their skills and performance.
- Review and monitor client files, suitability reports, and financial promotions, offering constructive feedback to ensure ongoing improvement in quality and compliance.
- Develop and implement compliance policies that enable advisors to deliver outstanding client service while meeting regulatory standards.