Tracey Daniel Email & Phone Number

Cardiff, Wales, United Kingdom

Cardiff, Wales, United Kingdom

Cardiff, Wales, United Kingdom

You are successful in your career, perhaps with your own business. You would like to plan for your future financial security, but you just don’t have the time to do this. We can help you to be secure in the knowledge that you have a clear plan in place to address your needs, and provide for the future you wish to enjoy. A plan that is monitored and can be adapted to navigate life’s road blocks as well as to accompany you on the open road on your expedition of life, because it’s a tour and not a single destination!!If this sounds like you, please contact us - we may be able to help you!

Cardiff

Helping people navigate their finances now, building for their futures

Head Of Compliance

In line with the Financial Conduct Authority my role includes:Overseeing all company procedures to ensure that they are complied with.Dealing with issues, assessing the product, compliance, or operational risks and develop risk management strategies.Disseminating written policies and procedures related to compliance activities.Keeping a record of all activity e.g. advice and marketing and ensuring regulatory policies and procedures have been documented, implemented, and communicated.Filing appropriate compliance reports with regulatory agencies.Maintaining documentation of compliance activities, such as complaints received or investigation outcomes.Discussing emerging compliance issues with management and/or employees.Providing assistance to internal or external auditors in compliance reviews.I also continue to provide financial planning advice to clients.CST Wealth is the trading name of CST Wealth Management Ltd which is authorised and regulated by the Financial Conduct Authority.

Bridgend

Research, analysis and report writing.- Conducted research for appropriate providers and investments (pensions and investments).- Analysed statistics and information. - Report writing for the financial adviser to present to the client as well as for my direct clients.- Thorough understanding of compliance issues. I also have my own clients and provide holistic financial planning advice to them.

Cardiff, United Kingdom

Oversaw all financial planning aspects and compliance for the company. Managed a team of 4 financial planners, 4 paraplanners and three administrative staff.