Sanjay Khatri Email and Phone Number
Sanjay Khatri work email
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Sanjay Khatri personal email
I have been in Financial Services for over 25 years and for the majority of that I have worked with IFAs, mortgage brokers and general insurance brokers. During this time I have built up a broad range of contacts that I can draw on. My aim is to provide bespoke solutions and practical assistance to firms around the ever changing regulation. Firms can request complete hands on assistance in order to prepare their entire compliance documentation, RMAR returns, to help with monitoring advisers which include carrying out file checks and adviser KPI review meetings or indeed I can work in tandem with other external compliance consultants, firms choose to use.For appointed representatives I can assist with the entire process of becoming directly authorised by the FCA.As I can interpret the rules I have assisted firms with MiFid ll, IDD, GDPR and SM&CR.More recently, I have been involved assisting with the Consumer Duty work. I have created a complete toolkit that allows firms to personalise and evidence they can meet all aspects of the duty.In summary, I am a creative problem solver with the ability to try and think out of the usual one dimension and most importantly look to add value to your business.
Sak Compliance Services Llp
View- Website:
- comserpharma.com
- Employees:
- 88
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Compliance And Business ProfessionalSak Compliance Services LlpLondon, England, Gb -
Compliance & Business ProfessionalSak Compliance Services Llp Aug 2014 - PresentI have a wealth of knowledge and contacts in the industry. Apart from compliance, offer true business support to aid the growth of a business. With proven track history.Providing all aspects of compliance support to IFAs, mortgage and general insurance firms. Can offer to work in tandom with other compliance organisations the client may have. However, offer the tailored support a firm needs but for an affordable fee.I can offer support with the GABRIEL return. Set up all the systems and controls to ensure adequate procedures are in place.Training & Competence assistance from role play observations, file reviews and KPI review meetings with advisers.Provide regular compliance updates and assist in implementation of requirements.For appointed representatives I can assist with the entire process of becoming directly authorised by the FCA.
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Senior Business ConsultantParadigm Partners Llp Apr 2007 - Feb 2014At internal level, was one of only 3 consultants at the inception of the company and therefore was responsible for compliance in the South of the country. Helped Paradigm with creating everything from maintaining the compliance manual and reviewing FSA/FCA policy statement, consultation papers and regular compliance updates to then prepare the Paradigm compliance bulletins for the Partner firms. Also, train and manage other consultants.Providing Compliance and true business support to IFA, Mortgage and General Insurance firms. This can be anything from carrying out an annual risk assessment of the business, implementing systems & controls to ongoing T & C assistance having attained supervisor status. Also, assist with the GABRIEL return. Also, provide technical help assistance.I also assisted firms in preparing for RDR. Created Centralised Investment Propositions.
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Compliance ConsultantBankhall Investment Associates May 2004 - Dec 2006Providing Compliance support to IFA, Mortgage and General Insurance firms. This can be anything from carrying out an annual risk assessment of the business, implementing systems & controls to ongoing T & C assistance having attained supervisor status. Also, assist with the GABRIEL return.
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Compliance ManagerModern Money Financial Services Ltd Apr 2001 - Feb 2004In house role managing all aspects of compliance for an IFA firm based in Holland Park and Edinburgh. Number of advisers was 10. Implementing systems & controls and T & C monitoring of the advisers but also areas such as pension review work.
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Field Compliance ConsultantDbs Network Feb 1999 - Feb 2001Monitoring of network member firms to the required level of the DBS compliance manual. Attained supervisor status so was also involved T & C monitoring.
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Complaints OfficerLincoln National Feb 1995 - Jan 1999Complaint handling from clients regarding products sold by the tied sales force. Review all evidence, investigate and issue senior management decision letters. Communication involved clients, third parties and the PIA Ombudsman.
Sanjay Khatri Skills
Frequently Asked Questions about Sanjay Khatri
What company does Sanjay Khatri work for?
Sanjay Khatri works for Sak Compliance Services Llp
What is Sanjay Khatri's role at the current company?
Sanjay Khatri's current role is Compliance and business professional.
What is Sanjay Khatri's email address?
Sanjay Khatri's email address is s_****@****l.co.uk
What skills is Sanjay Khatri known for?
Sanjay Khatri has skills like Wealth Management.
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