Management & Investment Coordinator
Brewin Dolphin
•Managed monthly Compliance Dashboard, including; the implementation and distribution of reports to relevant Directors and CF30s, measured performance by identifying and analysing data to determine trends, reviewed procedures and detected any gaps or opportunities for efficiency, reported remedial actions within a tight deadline; and wrote monthly Dashboard report for monthly Business Management Meeting.•Reviewed business process and ensure the branch was in full compliance. •Responsible for providing knowledge and guidance on policies and procedures and oversaw special projects and initiatives.•Co-ordinated Investment Assistants in their regulatory requirements, such as six-month reviews and other larger projects.•Managed all seminars, events, activities and organised and coordinated private client events, including maintaining Marketing objectives and yearly budget. •Lead Quarterly office Managers Meetings to ensure execution of risk-based compliance procedures and work performance is in accordance with FCA methodology and consistent with Brewin Dolphin Compliance Risk Management objectives and standards.