Catherine Gallagher
Compliance Monitoring Team Leader @Rathbones
Signup · Get unlimited contacts
WORK HISTORY
Compliance Monitoring Team Leader @Rathbones
Liverpool, GB
ABOUT CATHERINE GALLAGHER
I am a Compliance professional at Rathbones, experienced in providing regulatory oversight and advice to the financial planning business. My areas of expertise include: Compliance Monitoring Suitability Reviews Complaints Handling Financial Promotions Management Information and Reporting Projects I currently hold the CII Level 4 Diploma in Regulated Financial Planning (DipPFS), the Level 4 Certificate in Pension Transfer Advice and the Award in Long Term Care Insurance, satisfying the FCA\'s qualification requirements in relation to investment advice, pension transfer advice and long term care advice. I am currently studying towards the Level 6 Advanced Diploma in Financial Planning to achieve Chartered Financial Planner status with the CII.
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.